Mark S. Horstmann
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Weatherby Lake, MO
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CRD#: 4079505
Professional summary
Mark Steven Horstmann, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Weatherby Lake, Missouri and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Gladstone, Missouri.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 6 firms and has passed the Series 63, SIE, Series 7 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) MARK S HORSTMANN, 1201 WALNUT STE 400, KANSAS CITY, MO, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/03/00, INV REL, 100 HR/YR- 1/TRADING HR. 2) WEALTH MANAGEMENT GROUP OF KC LC, 7514 N OAK TRFY, STE B, GLADSTON, MO, OWNER MEMBER/DBA, 06/04/21, INV REL, 40 HR/WK- 40/TRADING HR. 3) WEALTH MANAGEMENT INSTITUTE LLC, 7902 NW PLEASANT FORD ROAD, WEATHERBY LAKE, MO, EDUCATION SERVICES FOUNDING MEMBER, 06/19/14, NIR, 0 HR/YR- 0/TRADING HR. 4) MB HOLDINGS, LLC, 7902 NW PLEASANT FORD ROAD, WEATHERBY LAKE, MO, FAMILY LLC, HOLDING COMPANY FOR PERSONAL ASSETS, 08/07/07, NIR, 0/HR/YR- 0/TRADING HR 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80 HR/MO-80/TRADING. 06/03/21-IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. OBA FORM SUBMITTED ON FINANCIAL PROFESSIONAL 'S BEHALF, BY CIR HOME OFFICE. TIME SPENT AND INCOME ARE ESTIMATED.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Steven Horstmann'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: 1988
Experience
Current
June 3, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 7514 N Oak Trafficway Ste. B, Gladstone, MO 64118RIA
CRD#: 134139
Weatherby Lake, MO
Current
June 3, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 7514 N Oak Trafficway Ste. B, Gladstone, MO 64118BD
CRD#: 39543
Gladstone, MO
Past
July 10, 2013 - October 30, 2015
COMPASS WEALTH MANAGEMENT, INC.
RIA
CRD#: 112054
KANSAS CITY, MO
Past
July 9, 2013 - June 8, 2021
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
GLADSTONE, MO
Past
June 28, 2013 - June 8, 2021
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
GLADSTONE, MO
Past
January 1, 2004 - July 9, 2013
CETERA ADVISORS LLC
RIA
CRD#: 10299
KANSAS CITY, MO
Past
January 1, 2004 - July 9, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
KANSAS CITY, MO
Past
April 14, 2000 - January 1, 2004
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
KANSAS CITY, MO
Past
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, 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
Alabama(5/10/2024)
RR
Alaska(6/14/2021)
RR
Arizona(6/3/2021)
RR
Arkansas(6/8/2021)
RR
Florida(6/3/2021)
RR
Illinois(10/1/2025)
RR
Kansas(6/3/2021)
RR
Kentucky(4/18/2022)
RR
Missouri(6/3/2021)
IAR
Missouri(6/3/2021)
RR
North Carolina(6/15/2021)
Exams
State Security Law 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
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.
