JL
Joseph A. Lloyd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
FORT COLLINS, CO 80525
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CRD#: 4301401
JL
Professional summary
Joseph Archie Lloyd is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fort Collins, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fort Collins, Colorado.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 53 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) JOSEPH LLOYD 1214 WOODS LANDING DR FORT COLLINS, CO 80525, OWNER, 01/01/2001, NON IVESTMENT RELATED, 1 HOUR MONTHLY, NON TRADING TIME, RENT OUT MY FAMILIES RENTAL PROPERTIES; MAINTAIN PROPERTY, RENT OUT PROPERTY AND DO ALL BOOKKEEPING 2) LONG GREEN PLANNING GROUP 375 E. HORSETOOTH RD #3-2-03 FORT COLLINS, CO 80525. BEGAN 1/1/05 AS PARTNER; FOR TRACKING OVERHEAD AND FOR ACCOUNTING PURPOSES. INVESTMENT RELATED. DEVOTES 2 HRS/WK. 2 DURING TRADING. 3) INDEPENDANT INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Archie Lloyd'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
July 1, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 375 E Horsetooth Rd Bldg 4 Ste 101, Fort Collins, CO 80525RIA
CRD#: 134139
FORT COLLINS, CO
Current
July 1, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 375 E Horsetooth Rd #3-203, Fort Collins, CO 80525BD
CRD#: 39543
FORT COLLINS, CO
Past
January 28, 2005 - July 9, 2013
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FORT COLLINS, CO
Past
January 24, 2005 - July 9, 2013
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FORT COLLINS, CO
Past
December 20, 2001 - January 21, 2005
WADDELL & REED
RIA
CRD#: 866
FT COLLINS, CO
Past
November 30, 2001 - January 21, 2005
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
June 18, 2001 - December 11, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(9/5/2025)
RR
California(7/1/2013)
RR
Colorado(7/1/2013)
IAR
Colorado(7/1/2013)
RR
Montana(7/27/2021)
RR
Nebraska(2/13/2024)
RR
New Jersey(7/1/2013)
RR
New York(7/1/2013)
RR
Washington(7/1/2013)
RR
Wyoming(7/1/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
