CS
Chad J. Sepulvado
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Birmingham, AL 35216
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CRD#: 3224702
CS
Professional summary
Chad Justin Sepulvado is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Birmingham, Alabama and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Birmingham, Alabama.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Chad has worked at 6 firms and has passed the Series 66, Series 82TO, SIE, Series 7, Series 6 and Series 24 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) SINSEP DESIGNS LLC, 2000 STAGG RUN CIRCLE, INDIAN SPRINGS VILLAGE, AL, 12/2015, OWNER, TECHNOLOGY SERVICES, NIR, 1 HR/MO, 0 HR TRADING. 2) SEPULVADO VENTURES, 8709 GLENMORA DR, SHREVEPORT, LA, 10/1997, SHAREHOLDER, FAMILY PARTNERSHIP, NIR, 0 HR/MO, 0 HR TRADING. 3) SEPCO LLC, 8709 GLENMORA DR, SHREVEPORT, LA, 5/2009, OWNER, REAL ESTATE INVESTMENT, INV REL, 0 HR/MO, 0 HR TRADING. 4) ELITE HEALTH SOLUTIONS, 7591 FERN AVE, #1602, SHREVEPORT, LA, 1/2010, OWNER, HEALTHCARE, NIR, 2 HR/MO, 0 HR TRADING. 5) ELITE HIRING SOLUTIONS, 7591 FERN AVE, #1602, SHREVEPORT, LA, 2/2023, OWNER, EMPLOYMENT STAFFING, NIR, 1 HR/MO, 0 HR TRADING. 6) CHAD J. SEPULVADO, 100 CENTERVIEW DR, SUITE 249, BIRMINGHAM, AL, 4/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 1 HR/MO, 1 HR/MO TRADING. 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 4/2023, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 8) PROSPER FINANCIAL PLANNING, INC., 100 Centerview Drive, Suite 249, Birmingham AL 35216, 06/01/2023, Secretary, Financial planning business we will be operating under, INV REL, 40 HR/MO - 40 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Chad Justin Sepulvado'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
April 28, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 Centerview Drive, Suite 249, Birmingham, AL 35216RIA
CRD#: 134139
Birmingham, AL
Current
April 21, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 Centerview Drive Suite 249, Birmingham, AL 35216BD
CRD#: 39543
Birmingham, AL
Past
January 6, 2006 - March 29, 2023
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
August 2, 2004 - January 27, 2006
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
BOSSIER CITY, LA
Past
February 6, 2004 - January 27, 2006
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
BOSSIER CITY, LA
Past
July 6, 2001 - February 6, 2004
PRO-INTEGRITY SECURITIES, INC.
BD
CRD#: 44707
LONGVIEW, TX
Past
March 27, 2001 - July 9, 2001
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Alabama(4/21/2023)
IAR
Alabama(4/28/2023)
RR
Arizona(9/5/2024)
RR
Arkansas(5/15/2024)
RR
California(1/4/2024)
RR
Florida(5/18/2023)
RR
Georgia(9/5/2024)
RR
Louisiana(5/18/2023)
RR
Mississippi(9/5/2024)
RR
Ohio(9/5/2024)
RR
Oklahoma(5/15/2024)
RR
Tennessee(9/5/2024)
RR
Texas(1/2/2024)
IAR
Texas(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 4/21/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Birmingham, AL 35216TRUST BUT VERIFY
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