AH
Alexi S. Howie
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Henderson, NV 89074
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CRD#: 3197431
AH
Professional summary
Alexi Sarah Jane Howie, CFP®, who also goes by Alexi Sarah Jane Howie, Alexi S J Williams, Alexi Sarah Jane Williams, Alexi Sarah Jane Williams - Howie, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Henderson, Nevada.
Alexi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Alexi has worked at 9 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alexi Sarah Jane Howie | Alexi S J Williams | Alexi Sarah Jane Williams | Alexi Sarah Jane Williams - Howie
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.Kore Wealth Management, 871 Coronado Center Drive Ste 200, Henderson, Nevada 89052, 09/2022, Agent, Using a Trade Name/dba, INV REL, 40 HR/MO - 35 HR/MO TRADING 2.Girl Scouts, 2941 E Harris Ave, Las Vegas NV 89101, United States, 01/11/2023, Coach, Volunteer, NIR, 4 HR/MO - 0 HR/MO TRADING 3. Young Men Service League, Henderson NV 89044, United States, 05/01/2023, Board Member, Volunteer, NIR, 4 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Alexi Sarah Jane Howie'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®
CFP®
Start date: 2005
Experience
Current
August 22, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2520 St. Rose Pkwy. Ste. 217, Henderson, NV 89074RIA
CRD#: 134139
Henderson, NV
Past
June 27, 2018 - August 23, 2022
CAPSTONE CAPITAL WEALTH ADVISORS
RIA
CRD#: 123764
HENDERSON, NV
Past
November 19, 2013 - November 1, 2017
BEACON POINTE WEALTH ADVISORS, LLC
RIA
CRD#: 151328
MILPITAS, CA
Past
February 24, 2011 - October 31, 2011
EXCELCIA FINANCIAL GROUP, LTD.
RIA
CRD#: 154278
SAN JOSE, CA
Past
April 3, 2008 - November 4, 2010
EXCELCIA CAPITAL MANAGEMENT, LLC
RIA
CRD#: 146328
SANTA CLARA, CA
Past
September 25, 2006 - May 7, 2009
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
SAN JOSE, CA
Past
September 7, 2006 - May 7, 2009
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
SAN JOSE, CA
Past
May 9, 2001 - November 3, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SANTA CLARA, CA
Past
April 18, 2001 - November 3, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 18, 2001 - November 3, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SANTA CLARA, 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.Highlighted states indicate IAR registrations
IAR
Nevada(8/29/2022)
IAR
Texas(8/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
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.
