RB
Rickey Bowen
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
San Jose, CA
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CRD#: 2837377
RB
Professional summary
Rickey Bowen is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in San Jose, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cupertino, California.
Rickey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Rickey has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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) AMERICAN SENIOR SERVICES INC, 8250 BRYAN DAIRY ROAD STE 350 LARGO FL, 11/2020, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 10 HR/MO 0 HR/MO TRADING 2) TRAVELMASTERS INC DBA GOLDRUSH GETAWAYS, 8350 AUBURN BLVD STE 200 CITRUS HEIGHTS, CA, 07/2019. TRAVEL AGENT, NIR, 5 HR/MO 0 HR/MO TRADING 3) MUTUAL OF OMAHA, MUTUAL OF OMAHA PLZ OMAHA NE, 10/2014, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 0 HR/MO 0 HR/MO TRADING 4) GENWORTH LIFE INSURANCE COMPANY, 3100 ALBERT LANKFORD DR LYNCHBURG VA, 09/2014, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 5 HR/MO 0 HR/MO TRADING 5) AMERICAN GENERAL LIFE COMPANIES, 2727A ALLEN PKWY B-F4, HOUSTON, TX, 11/2013, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/MO 0 HR/MO TRADING 6) AIM/GCUSA FINANCIAL PLANNING LTCi DIVISION, 7736 LEGENDARY LN, WEST CHESTER, OH, 09/2014, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 5 HR/MO 1 HR/MO TRADING 7) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 09/2012, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 8) GATEWAY INSURANCE SOLUTIONS, LLC, 1646 N CALIFORNIA BLVD, SUITE 650, WALNUT CREEK, CA, 09/2013, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 30 HR/MO 1 HR/MO TRADING 9) GUARDIAN LIFE INSURANCE COMPANY OF AMERICA, 7 HANOVER SQUARE, NEW YORK, NY, 10/2012, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 5 HR/MO 1 HR/MO TRADING 10) AMERICAN EQUITY INVESTMENT LIFE, 6000 WESTOWN PKWY, WEST DES MOINES, IA, 03/2014, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 1 HR/MO 1 HR/MO TRADING 11) THE INFINITUS GROUP, 4943 South Jackson Road, Edinburg TX 78539, United States, 11/01/2024, Agent, Insurance/Benefits/Human Resources, INV REL, 15 HR/MO 0 HR/MO TRADING 12) GATEWAY FINANCIAL ADVISORS LLC, 230 S Treeline Street, AIRWAY HEIGHTS WA 99001, United States, 10/30/2025, Investment Advisor Representative, Administrative, NIR, 65 HR/MO - 45 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Rickey Bowen'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
September 10, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 10080 North Wolfe Rd. Sw3-200, Cupertino, CA 95014RIA
CRD#: 134139
San Jose, CA
Current
September 10, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 10080 North Wolfe Rd. Sw3-200, Cupertino, CA 95014BD
CRD#: 39543
Cupertino, CA
Past
March 23, 2009 - August 27, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAN JOSE, CA
Past
January 23, 2009 - August 27, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAN JOSE, CA
Past
December 15, 1997 - January 6, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN JOSE, CA
Past
February 27, 1997 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 27, 1997 - January 6, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN JOSE, CA
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
California(9/10/2012)
IAR
California(9/10/2012)
RR
Florida(2/23/2018)
RR
Georgia(8/15/2025)
RR
Minnesota(8/10/2021)
RR
New Jersey(2/7/2023)
RR
New York(9/1/2016)
RR
Washington(4/24/2025)
IAR
Washington(6/30/2025)
Exams
State Security Law Exam
State Security Law 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.
