SS
Steven C. Sovde
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Charlotte, NC 28277
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CRD#: 3110929
SS
Professional summary
Steven Craig Sovde is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Charlotte, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Charlotte, North Carolina.
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 10 firms and has passed the Series 63, Series 65, SIE and Series 7 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) CIRA- 1776 Pleasant Plain Rd. Fairfield, IA 52556. 9/5/2017. Advisory Rep of a registered Investment Advisor. Investment Related. 40/weekly, 40/trading 2) Independent Insurance Agent for Various Insurance Companies. Charlotte, NC. 1/1999, Investment related, 40/weekly, 20/trading 3) FORTH FINANCIAL GROUP, 11430 N Community House Rd, #260, Ste 260, Charlotte NC 28277, United States, 07/11/2024, Agent, Using a Trade Name/dba, NIR, 4HR/MO - 4HR/trading
CRS (Client Relationship Summary) - RIA
Click below to view Steven Craig Sovde'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
October 19, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 11430 N Community House Rd. Ste 260, Charlotte, NC 28277RIA
CRD#: 134139
Charlotte, NC
Current
September 6, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 11430 N Communtiy House Rd Ste 260, Charlotte, NC 28277BD
CRD#: 39543
Charlotte, NC
Past
May 27, 2015 - September 27, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
COLUMBIA, SC
Past
April 27, 2015 - September 27, 2017
OSAIC FS, INC.
BD
CRD#: 3870
COLUMBIA, SC
Past
April 9, 2010 - April 8, 2015
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
CHARLOTTE, NC
Past
June 25, 2007 - April 8, 2010
ALLEGIANT FINANCIAL ADVISORS, LLC
RIA
CRD#: 141047
MIAMI BEACH, FL
Past
May 2, 2007 - April 8, 2010
ALLEGIANT SECURITIES L.L.C.
BD
CRD#: 133912
MIAMI, FL
Past
April 4, 2003 - September 21, 2006
OSAIC FS, INC.
RIA
CRD#: 3870
CHARLOTTE, NC
Past
March 6, 2003 - September 21, 2006
OSAIC FS, INC.
BD
CRD#: 3870
CHARLOTTE, NC
Past
December 31, 2001 - March 26, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
CHARLOTTE, NC
Past
January 20, 1999 - April 1, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
November 20, 1998 - December 9, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 20, 1998 - December 9, 1998
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(9/6/2017)
RR
North Carolina(9/6/2017)
IAR
North Carolina(10/19/2017)
RR
South Carolina(9/6/2017)
RR
Tennessee(1/14/2022)
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.
