CM
Cristen K. Morgan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
St. Simons Island, GA
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CRD#: 3004091
CM
Professional summary
Cristen Kimberly Morgan, who also goes by Cristen Morgan Inman, Cristen Kimberley Morgan, Cristen Kimberley Morgan Inman, Cristen Kimberley Morgan-inman, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in St. Simons Island, Georgia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cornelius, North Carolina.
Cristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Cristen has worked at 8 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cristen Morgan Inman | Cristen Kimberley Morgan | Cristen Kimberley Morgan Inman | Cristen Kimberley Morgan-Inman
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)LAKE NORMAN FINANCIAL GROUP INC, 20615 N MAIN ST, CORNELIUS, NC, 1/2002 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 5/TRADING.
2)CIRA, 1776 PLEASANT PLAIN ROAD, FAIRFIELD IA, AS ADVISORY REP OF A RIA. INVESTMENT RELATED 30/WEEK 4/TRADE. SEE EMPLOYMENT HISTORY FOR START DATE.
3) MasonLucy, LLC, 20615 N. Main Street, Cornelius, NC 28031. Began 4/20/2017, Single Owner LLC to Purchase real Estate, President. Not investment related. 1/monthly, none trade.
4. THE HOPE HOUSE FOUNDATION, HUNTERSVILLE, NC, 01/2019. BOARD MEMBER. NIR-4/MO-0/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Cristen Kimberly Morgan'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
November 8, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 20615 N. Main Street, Cornelius, NC 28031RIA
CRD#: 134139
St. Simons Island, GA
Current
November 8, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 20615 N. Main Street, Cornelius, NC 28031BD
CRD#: 39543
Cornelius, NC
Past
May 13, 2016 - November 21, 2016
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
CORNELIUS, NC
Past
May 13, 2016 - November 21, 2016
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
CORNELIUS, NC
Past
April 4, 2007 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CORNELIUS, NC
Past
April 4, 2007 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CORNELIUS, NC
Past
December 1, 2003 - April 10, 2007
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CORNELIUS, NC
Past
November 17, 2003 - April 3, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CORNELIUS, NC
Past
February 5, 2003 - November 19, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 31, 2001 - January 30, 2003
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
CHARLOTTE, NC
Past
September 25, 2001 - January 30, 2003
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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
Florida(1/3/2017)
RR
Georgia(12/24/2024)
IAR
Georgia(12/26/2024)
RR
Illinois(11/8/2016)
RR
North Carolina(11/8/2016)
IAR
North Carolina(11/8/2016)
RR
Oklahoma(1/3/2023)
RR
Pennsylvania(1/3/2019)
RR
South Carolina(11/8/2016)
RR
Texas(5/2/2025)
IAR
Texas(5/8/2025)
RR
Virginia(11/8/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
