SH
Steven E. Hintz
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Warwick, RI
Some features on this profile are disabled
CRD#: 3255719
SH
Professional summary
Steven Ernest Hintz, who also goes by Steven Hintz, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Warwick, Rhode Island and CAMBRIDGE INVESTMENT RESEARCH, INC. located in South Windsor, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Hintz
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) JSH REALTY, LLC, 1330 SULLIVAN AVE., SOUTH WINDSOR, CT 06074. BEGAN 5/99 AS A MEMBER OF RENTAL OF COMMERCIAL REAL ESTATE. NOT INVESTMENT RELATED. DEVOTES 3 HRS/MNTH, NONE DURING TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 1/2005 AS ADVISORY REP OF A RIA. INV REL - 5 HR/mo - 2/TRADING. 07/01/05 3) TOES IN THE SAND, LTD., 1330 SULLIVAN AVE, SOUTH WINDSOR, CT 4/2013 AS OWNER- RENTAL REAL ESTATE - CONDO - TURKS & CAICOS. DEVOTES 10 HR/YR/NONE DURING TRADING. 4) HI-HO REALTY, LLC, PO BOX 831, SOUTH WINDSOR, CT 10/07 AS PART OWNER OF COMMERCIAL REAL ESTATE, MAINTAINING PROPERTY, COLLECTING RENT. NOT INVESTMENT RELATED. DEVOTES 10 HRS/MNTH, NONE DURING TRADING. 5) SOUTH WINDSOR LAND CONSERVATION TRUST, EAST WINDSOR HILL, CT, 11/2015 AS DIRECTOR/ASST. TREASURER. NIR - 1 HR/MO - 0/TRADING. 6) STEVEN E HINTZ CPA, PC, 152 Deming Street, South Windsor CT 06074, 1/1994 AS OWNER OF TAX PREP SERVICES/CPA. NIR - 200 HR/WK - 200/TRADING. 7) CANTON BODY CARE, LLC / 110 Albany Turnpike, Canton CT 06019, United States / 10/18/2021 / NIR/ 20% OWNER OF A MASSAGE ENVY FRANCHISE / 10HR/MO - 0HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Steven Ernest Hintz'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
March 28, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 152 Deming St., South Windsor, CT 06074RIA
CRD#: 134139
Warwick, RI
Current
November 1, 2004 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 152 Deming St., South Windsor, CT 06074BD
CRD#: 39543
South Windsor, CT
Past
January 3, 2005 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
FAIRFIELD, IA
Past
December 2, 2003 - November 5, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
October 27, 1999 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
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
Connecticut(11/1/2004)
IAR
Connecticut(3/28/2005)
RR
Florida(3/6/2006)
RR
Maryland(8/30/2023)
RR
Massachusetts(5/20/2005)
RR
New Hampshire(1/2/2019)
RR
North Carolina(1/4/2021)
RR
Rhode Island(6/25/2025)
IAR
Rhode Island(6/25/2025)
RR
South Carolina(5/9/2022)
RR
Texas(1/2/2018)
IAR
Texas(1/3/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/14/2007
Corporate Securities Limited Representative ExaminationGeneral 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
