KM
Kevin P. Monroe
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Alfred, ME 04002
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CRD#: 4062097
KM
Professional summary
Kevin Paul Monroe, ChFC®, CLU® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Alfred, Maine and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Alfred, Maine.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 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) MONROE & CONLEY FINANCIAL GROUP, 200 WATERBORO RD ALFRED ME, 09/2024, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 2) SHILOH CORP, 200 WATERBORO RD ALFRED ME, 01/2002, OWNER, HOLDING COMPANY, NIR, 5 HR/MO 2 HR/MO TRADING 3) DBA MONROE FINANCIAL, 200 WATERBORO RD ALFRED ME, 09/2024, OWNER, DBA, NIR, 0 HR/MO 0 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING 09/2024 5) MONROE & CONLEY FINANCIAL GROUP (ASH BROKERAGE), 200 WATERBORO RD ALFRED ME, 09/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 160 HR/MO 160 HR/MO TRADING 6) RIVER OF LIFE CHURCH, PO BOX 392 SANFORD ME, 01/2003, BOARD MEMBER, RELIGIOUS ORGANIZATION, NIIR, 10 HR/MO 3 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Paul Monroe'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®
Experience
Current
September 6, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 200 Waterboro Rd., Alfred, ME 04002Office #2: 1288 Roosevelt Trail, Raymond, ME 04071RIA
CRD#: 134139
Alfred, ME
Current
September 6, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 200 Waterboro Rd., Alfred, ME 04002Office #2: 1288 Roosevelt Trail, Ste. 1, Raymond, ME 04071BD
CRD#: 39543
Alfred, ME
Past
July 29, 2013 - September 13, 2024
MWA FINANCIAL SERVICES INC.
RIA
CRD#: 112630
ALFRED, ME
Past
June 24, 2010 - December 12, 2012
MWA FINANCIAL SERVICES INC.
RIA
CRD#: 112630
ALFRED, ME
Past
October 1, 2002 - September 13, 2024
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
ALFRED, ME
Past
July 2, 2002 - November 6, 2002
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
ALFRED, ME
Past
December 9, 1999 - October 10, 2002
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
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
Arizona(9/6/2024)
RR
California(9/6/2024)
RR
Colorado(9/6/2024)
RR
Florida(9/6/2024)
RR
Indiana(9/6/2024)
RR
Maine(9/6/2024)
IAR
Maine(9/6/2024)
RR
Massachusetts(9/6/2024)
RR
New Hampshire(9/6/2024)
RR
New York(8/28/2025)
RR
North Carolina(9/6/2024)
RR
South Carolina(9/6/2024)
RR
Texas(9/6/2024)
IAR
Texas(9/6/2024)
RR
Vermont(9/6/2024)
RR
Virgin Islands(9/6/2024)
RR
Virginia(9/6/2024)
RR
Washington(9/6/2024)
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
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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#: 134139Alfred, ME 04002TRUST BUT VERIFY
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