SF
Steven M. Fain
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Indian Wells, CA 92210
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CRD#: 2996318
SF
Professional summary
Steven Michael Fain, ChFC®, who also goes by Steve Fain, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Indian Wells, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Portland, Oregon.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Fain
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)FINANCIAL RESERVE INC, 12725 SW 66TH AVE, STE 102, PORTLAND, OR, 3/1998 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5 HR/WK - 3/TRADING. 2)FINANCIAL RESERVE INC, 12725 SW 66TH AVE, STE 102, PORTLAND, OR, 9/1995 PROVIDING ADVICE ON CAREER COUNSELING & NETWORKING, PERSONAL BUDGETING, CONSUMER, CREDIT, AND GOAL MANAGEMENT, HEALTH & TIME MANAGEMENT. NIR - 10 HR/WK - 5/TRADING. 3)FINANCIAL RESERVE INC, 12725 SW 66TH AVE STE 102, PORTLAND, OR, 1/2008 AS SHAREHOLDER. INV REL - 5/WK - 3/TRADING. 4)DESERT RESORT MANAGEMENT 42-635 MELANIE PLACE, STE. 103. PALM DESERT, CA, 2/1/13 AS HOA TREASURER THAT APPROVES EXPENSES THAT ARE TO BE PAID. NIR - 2/MO - 0/TRADING. 5)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 15 HR/WK - 10/TRADING. 06/27/08. 6)TRUST PROTECTOR FOR G. & M. PARROT, PORTLAND, OR, 5/2017. NIR - 0 HRS. 7)RENTAL PROPERTY CO-OWNER, 01529 PALANTINE HILL RD, PORTLAND, OR, 4/2018. NIR - 1/MO - 0/TRADING. 8)FP VENTURES LLC, 01529 SW PALATINE HILL RD, PORTLAND, OR, 9/2018 AS CO-OWNER OF LLC TO HOLD INVESTMENTS. NIR - 2/YR - 0/TRADING. 9)OREGON CITY PLAZA, LLC (NON-INVESTMENT RELATED), 1507 9TH STREET, OREGON CITY, OR; OWNER; 1/1/88; 8 hr/mo, 0 HR DURING SECURITIES TRADING HRS; OWNER OF 36 UNIT APARTMENT BUILDING. DUTIES ARE PRIMARILY OVERSEEING ON-SITE MANAGERS AND PAYING BILLS. 10)AP TAX LLC, 12725 SW 66th Ave Suite 102, Portland OR 97223, United States, 10/20/2025, Referral Source, Referrals, NIR, 1 HR/MO 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Fain'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
June 27, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 74952 Chateau Circle, Indian Wells, CA 92210Office #3: 12725 Sw 66th Ave Ste 102, Portland, OR 97223-2547RIA
CRD#: 134139
Indian Wells, CA
Current
June 27, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 12725 Sw 66th Ave Ste 102, Portland, OR 97223-2547BD
CRD#: 39543
PORTLAND, OR
Past
April 30, 2001 - July 8, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
PORTLAND, OR
Past
February 4, 1998 - July 8, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
PORTLAND, OR
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
Arizona(4/27/2021)
RR
California(6/27/2008)
IAR
California(3/27/2024)
RR
Colorado(6/27/2008)
RR
Florida(10/7/2010)
RR
Georgia(6/27/2008)
RR
Hawaii(2/2/2017)
RR
Idaho(11/9/2015)
RR
Illinois(5/6/2025)
RR
Indiana(7/15/2008)
RR
Massachusetts(6/27/2008)
RR
Michigan(4/26/2022)
RR
Missouri(5/9/2022)
RR
Montana(1/2/2025)
RR
New Mexico(1/28/2025)
RR
New York(7/20/2012)
RR
Ohio(2/13/2018)
RR
Oregon(6/27/2008)
IAR
Oregon(6/30/2008)
RR
Pennsylvania(11/3/2015)
RR
South Dakota(4/26/2022)
RR
Texas(6/27/2008)
IAR
Texas(6/27/2008)
RR
Utah(1/2/2025)
RR
Washington(6/27/2008)
RR
Wisconsin(1/28/2025)
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Indian Wells, CA 92210TRUST BUT VERIFY
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