PC
Peter J. Coleman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Littleton, CO 80127
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CRD#: 2775291
PC
Professional summary
Peter Jon Coleman is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Littleton, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Golden, Colorado.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Peter has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30 HR/MO -15/TRADING. 09/29/2017 2.LICENSED, NON-PRACTICING ATTORNEY, 2817 Hiwan Drive, Evergreen CO 80439, United States, 01/01/2003, Non-Practicing Attorney, Legal Services, NIR, 0 HR/MO - 0 HR/MO TRADING 3.COLEMAN CAPITAL AND RISK MANAGEMENT LLC, 2817 Hiwan Drive, Evergreen CO 80439, United States, 08/25/2015, Founder, Owner/Partner of a Business Entity, NIR, - 2/MO - 0/TRADING. 4.COLEMAN CAPITAL AND RISK MANAGEMENT, INC., 2817 Hiwan Drive, Evergreen CO 80439, United States, 08/10/2010, Founder, Insurance/Benefits/Human Resources, NIR, 15 HR/MO - 6 HR/MO TRADING 5.THE ROTARY CLUB OF EVERGREEN, 2981 Bergen Peak Drive, Evergreen CO 80439, 06/2025, Member, Community, Statewide, National and International service organization, NIR, 10 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Jon Coleman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 10, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 13984 W Bowles Ave Ste 102, Littleton, CO 80127RIA
CRD#: 134139
Littleton, CO
Current
October 10, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 350 Indiana Street, Suite 730, Golden, CO 80401BD
CRD#: 39543
Golden, CO
Past
February 11, 2011 - October 12, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
EVERGREEN, CO
Past
August 9, 2010 - October 12, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
EVERGREEN, CO
Past
November 4, 1996 - March 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HOUSTON, TX
Past
October 1, 1996 - March 3, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 1, 1996 - March 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/10/2021)
RR
Alaska(1/4/2021)
RR
Arizona(10/10/2017)
RR
Arkansas(11/20/2023)
RR
California(10/10/2017)
RR
Colorado(10/10/2017)
IAR
Colorado(10/10/2017)
RR
Connecticut(9/28/2023)
RR
Florida(1/8/2019)
RR
Georgia(10/10/2017)
RR
Hawaii(3/20/2018)
RR
Illinois(1/3/2022)
RR
Indiana(9/29/2022)
RR
Kansas(10/10/2017)
RR
Louisiana(11/29/2017)
RR
Massachusetts(10/10/2017)
RR
Michigan(10/10/2017)
RR
Minnesota(8/11/2022)
RR
Missouri(10/10/2017)
RR
Montana(9/29/2022)
RR
Nebraska(1/3/2022)
RR
Nevada(1/3/2023)
RR
New Hampshire(3/8/2021)
RR
New Jersey(8/23/2019)
RR
New Mexico(2/13/2019)
RR
New York(1/2/2018)
RR
North Carolina(8/20/2021)
RR
North Dakota(9/29/2022)
RR
Ohio(1/9/2023)
RR
Oklahoma(10/10/2017)
RR
Pennsylvania(1/3/2022)
RR
Puerto Rico(1/3/2022)
RR
South Carolina(9/16/2019)
RR
Texas(10/10/2017)
IAR
Texas(10/10/2017)
RR
Virginia(5/12/2020)
RR
Washington(1/2/2018)
RR
Wyoming(10/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
