EK
Erik L. Keller
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
BEL AIR, MD 21014
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CRD#: 4139662
EK
Professional summary
Erik Louis Keller is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bel Air, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bel Air, Maryland.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Erik has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 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) HARFORD FINANCIAL GROUP INC, 836 S MAIN ST STE 105, BELAIR, MD, 1/2008 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 0/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/MO - 1/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) KELLER FINANCIAL SERVICES, LLC, 836 S MAIN ST, STE 105, BEL AIR, MD, SINCE 10/2014 AS OWNER OF SECURITIES LLC/DBA. NIR - DEVOTES 5 HR/WK - NONE DURING TRADING. 4) KELLER FINANCIAL SERVICES / Nottingham MD / 10/2022 / EXPERT WITNESS / NIR / 2 HR/MO 0 HR TRADING 5) HARFORD FINANCIAL GROUP, 836 S. Main Street, suite 105, suite 105, Bel Air MD 21014, United States, 01/01/1993, DBA Name, INV REL, 160 HR/MO 160 HR TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Erik Louis Keller'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
October 15, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 836 S Main St Ste 105, Bel Air, MD 21014RIA
CRD#: 134139
BEL AIR, MD
Current
October 15, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 836 S Main St Ste 105, Bel Air, MD 21014BD
CRD#: 39543
Bel Air, MD
Past
January 31, 2008 - October 19, 2010
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BEL AIR, MD
Past
January 30, 2008 - December 31, 2010
HARFORD FINANCIAL GROUP
RIA
CRD#: 121166
BEL AIR, MD
Past
January 15, 2008 - October 19, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
BEL AIR, MD
Past
May 3, 2006 - December 31, 2007
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
LAUREL, MD
Past
May 3, 2006 - December 31, 2007
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
LAUREL, MD
Past
August 16, 2005 - May 15, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BALTIMORE, MD
Past
September 16, 2002 - May 15, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 6, 2002 - September 4, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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
California(8/22/2024)
RR
Delaware(10/15/2010)
RR
Florida(10/15/2010)
RR
Illinois(10/15/2010)
RR
Kansas(1/2/2024)
RR
Maryland(10/15/2010)
IAR
Maryland(10/15/2010)
RR
Mississippi(8/13/2019)
RR
Montana(2/4/2015)
RR
New Hampshire(10/15/2010)
RR
New York(10/15/2010)
RR
North Carolina(10/15/2010)
RR
Pennsylvania(10/15/2010)
RR
South Carolina(10/15/2010)
RR
Tennessee(1/2/2020)
RR
Texas(8/22/2024)
IAR
Texas(8/22/2024)
RR
Virginia(10/15/2010)
RR
West Virginia(10/15/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 134139Bel Air, MD 21014TRUST BUT VERIFY
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