SK
Seth J. King
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Denver, CO 80246
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CRD#: 3029660
SK
Professional summary
Seth J King JR, ChFC®, who also goes by Seth J King, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Denver, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Denver, Colorado.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Seth has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth J King
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 PLANNING ALTERNATIVES, 501 South Cherry St, Suite 1100, Denver CO 80246, 01/2017. OWNING PARTNER IN LLC SELLING LIFE, LTC, DISABILITY, & FIXED ANNUITY PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 12 HR/MO - 4 HR/MO Trading. 2-OPERATION STRENGTH INC. ROARING BRANCH, PA. STARTED 1/2014 AS BOARD MEMBER. THE GOAL OF THE ORGANIZATION IS TO ASSIST THE MOST VULNERABLE PERSONS AFFECTED BY CRISIS OR CHRONIC NEED WITHOUT REGARD TO THEIR RACE, RELIGION, GENDER, OR SEXUAL ORIENTATION. NIR - SPENDS 1 HR/MO, NONE DURING TRADING. 3-CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/2008 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 20/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Seth J King JR'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
December 18, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 501 S. Cherry St. Suite 1100, Denver, CO 80246RIA
CRD#: 134139
Denver, CO
Current
December 18, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 501 S. Cherry St. Suite 1100, Denver, CO 80246BD
CRD#: 39543
Denver, CO
Past
April 30, 2003 - December 20, 2008
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DENVER, CO
Past
April 29, 2003 - December 20, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DENVER, CO
Past
December 21, 2001 - June 24, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
April 22, 1998 - September 4, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, 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
Arizona(4/22/2019)
RR
Arkansas(3/24/2016)
RR
California(5/23/2012)
RR
Colorado(12/18/2008)
IAR
Colorado(12/18/2008)
RR
District of Columbia(6/26/2015)
RR
Florida(1/22/2015)
RR
Louisiana(9/24/2025)
RR
New Mexico(1/22/2015)
RR
Pennsylvania(6/13/2022)
RR
South Carolina(6/12/2019)
RR
South Dakota(1/3/2022)
RR
Texas(1/2/2009)
IAR
Texas(2/13/2009)
RR
Virginia(1/2/2009)
RR
West Virginia(1/3/2023)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
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.
