AK
Adam I. Kim
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fresno, CA 93720
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CRD#: 2846317
AK
Professional summary
Adam Ilung Kim, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fresno, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fresno, California.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Adam has worked at 13 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 31, Series 7 and Series 24 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. ADAM KIM, 575 E LOCUST AVE STE 202 FRESNO CA 93720, 05/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 2 HR/MO 1 HR/MO TRADING 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 52556, 05/2023 AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 3. VANGUARD UNIVERSITY, 55 Fair Dr, Costa Mesa CA 92626, 05/2023, BOARD MEMBER, NIR, 1 HR/MO - 1 HR/MO TRADING 4. STRADA FINANCIAL, 575 E. Locust Ave, Ste 202B, Fresno CA, 10/2023, USING A TRADE NAME/DBA, INV REL, 160 HR/MO - 80 HR TRADING 5. RAMSEY SMARTVESTOR PRO, 575 E. Locust Ave, Ste 202, Fresno CA 93720, United States, 10/28/2024, referrals, consulting, INV REL, 10/MO - 5/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Adam Ilung Kim'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®
Experience
Current
May 19, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 575 E Locust Ave., Ste 202, Fresno, CA 93720RIA
CRD#: 134139
Fresno, CA
Current
May 19, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 575 E Locust Ave. Ste. 202, Fresno, CA 93720BD
CRD#: 39543
Fresno, CA
Past
July 31, 2018 - June 5, 2023
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
FRESNO, CA
Past
July 31, 2018 - June 5, 2023
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
FRESNO, CA
Past
November 13, 2013 - August 13, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
FRESNO, CA
Past
November 12, 2013 - August 13, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FRESNO, CA
Past
November 23, 2010 - November 14, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SAN JOSE, CA
Past
June 18, 2010 - November 14, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SAN JOSE, CA
Past
April 14, 2009 - March 24, 2010
ATEL SECURITIES CORPORATION
BD
CRD#: 17229
SAN FRANCISCO, CA
Past
February 27, 2006 - March 22, 2007
GUGGENHEIM INVESTMENTS
RIA
CRD#: 129288
LISLE, IL
Past
November 1, 2005 - March 22, 2007
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
CHICAGO, IL
Past
December 13, 2001 - August 3, 2005
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
BOSTON, MA
Past
June 2, 2001 - November 15, 2001
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
July 30, 1997 - June 19, 2000
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
April 7, 1997 - June 26, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 7, 1997 - June 26, 1997
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
California(5/19/2023)
IAR
California(5/19/2023)
RR
New Mexico(5/19/2023)
RR
Oregon(5/19/2023)
RR
Texas(5/19/2023)
IAR
Texas(5/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 5/19/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
