Kimberly A. Spisak
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Westlake, OH 44145
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CRD#: 4041956
Professional summary
Kimberly Ann Spisak, CFP®, who also goes by Kimberly Ann Kusnerik, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Westlake, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Westlake, Ohio.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kimberly has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Ann Kusnerik
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, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 11/16/18 2) TOASTMASTERS INTERNATIONAL, 27333 CENTER RIDGE ROAD, WESTLAKE, OH, TREASURER, 03/31/21, NIR, 1 HR/MO- 0/TRADING HR. 3) INSURANCE, 1991 Crocker Road Ste. 400, Westlake OH 44145, 10/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 0 HR/MONTH 0 HR/MONTH TRADING 4) ASPIRE INVESTMENT MANAGEMENT, 1991 Crocker Road, Westlake OH 44145, 08/01/2018, Using DBA for marketing purposes, DBA for my business with Cambridge, INV REL, 160 HR/MO, 130 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Ann Spisak'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: 2019
Experience
Current
November 16, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1991 Crocker Road Suite 400, Westlake, OH 44145RIA
CRD#: 134139
Westlake, OH
Current
October 2, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1991 Crocker Road Suite 400, Westlake, OH 44145BD
CRD#: 39543
Westlake, OH
Past
November 4, 2014 - October 3, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Westlake, OH
Past
November 4, 2014 - October 3, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Westlake, OH
Past
June 29, 2007 - November 4, 2014
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
BROADVIEW HTS., OH
Past
May 10, 2006 - October 28, 2014
CORNERSTONE ASSET MANAGEMENT SERVICES, INC.
RIA
CRD#: 137712
PARMA, OH
Past
May 4, 2006 - July 3, 2007
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
PARMA, OH
Past
June 13, 2005 - March 15, 2006
BURNS FINANCIAL CENTRE, INC.
BD
CRD#: 133545
BRECKSVILLE, OH
Past
July 25, 2000 - June 9, 2005
L.M. KOHN & COMPANY
BD
CRD#: 27913
CINCINNATI, OH
Past
October 15, 1999 - July 24, 2000
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
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
Ohio(10/2/2017)
IAR
Ohio(11/16/2018)
RR
Pennsylvania(1/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
