Henry Xaiver Carrillo | Financial Professional

Professional summary

Henry Xaiver Carrillo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Henry is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Henry had worked at 5 firms, which includes CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., LPL FINANCIAL LLC, INVEST FINANCIAL CORPORATION, CITICORP INVESTMENT SERVICES.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Henry Carrillo

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 20, 2013 - December 31, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WOODRIDGE, IL

Past

August 19, 2013 - December 31, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

WOODRIDGE, IL

Past

January 24, 2007 - September 18, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

WOODBRIDGE, IL

Past

January 24, 2007 - September 18, 2013

LPL FINANCIAL LLC

BD

CRD#: 6413

WOODBRIDGE, IL

Past

November 9, 2001 - January 17, 2007

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CICERO, IL

Past

November 4, 1999 - April 6, 2000

CITICORP INVESTMENT SERVICES

BD

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 6, 1999 - January 17, 2007

INVEST FINANCIAL CORPORATION

BD

CRD#: 12984

CICERO, IL

Past

May 12, 1997 - August 26, 1999

CITICORP INVESTMENT SERVICES

BD

CRD#: 23988

LONG ISLAND CITY, NY

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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 10/19/2001

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 6/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 5/10/1997

General Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

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	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Henry X. Carrillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

CITICORP INVESTMENT SERVICES

INVEST FINANCIAL CORPORATION

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2001

Series 63

Date: 6/4/1997

Series 7

Date: 5/10/1997

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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