JK
Jay H. Kim
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Sacramento, CA
Some features on this profile are disabled
CRD#: 4317260
JK
Professional summary
Jay H Kim is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Sacramento, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Santa Rosa, California.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jay has worked at 8 firms and has passed the Series 66, SIE and Series 7 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) JJE ENTERPRISES, 1210 FITCH WAY, SACRAMENTO, CA, 05/2019, OWNER, BUSINESS ENTITY, NIR, 1 HR/MO, 0 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 06/2022, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 3) GATEWAY FINANCIAL ADVISORS, 333 UNIVERSITY AVE, SUITE 200, SACRAMENTO, CA, 02/2023, OWNER, INSURANCE, INV REL, 5 HR/MO, 5 HR/MO TRADING. 4) GATEWAY INSURANCE GROUP, 333 UNIVERSITY AVE, SUITE 200, SACRAMENTO, CA, 02/2023, OWNER, INSURANCE, NIR, 5 HR/MO, 5 HR/MO TRADING. 5) GATEWAY FINANCIAL ADVISORS, LLC, 333 University Ave. Suite 200, Sacramento CA 95825, 03/2025, Investment Advisor Representative, DBA Name, NIR, 150 HR/MO, 100 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Jay H Kim'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
June 1, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1120 College Ave., Santa Rosa, CA 95404RIA
CRD#: 134139
Sacramento, CA
Current
June 1, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Santa Rosa, CA
Past
June 18, 2021 - April 11, 2022
MARINER ADVISOR NETWORK
RIA
CRD#: 283824
Sacramento, CA
Past
April 3, 2019 - April 26, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
SACRAMENTO, CA
Past
April 3, 2019 - April 26, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
SACRAMENTO, CA
Past
June 3, 2008 - April 11, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Sacramento, CA
Past
June 2, 2008 - April 11, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Sacramento, CA
Past
September 5, 2006 - May 14, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SACRAMENTO, CA
Past
July 28, 2006 - May 14, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SACRAMENTO, CA
Past
June 3, 2004 - July 13, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
SACRAMENTO, CA
Past
April 16, 2004 - March 27, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 16, 2004 - July 13, 2006
OSAIC FA, INC.
BD
CRD#: 3978
SACRAMENTO, CA
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(6/1/2022)
IAR
California(6/1/2022)
RR
Louisiana(10/1/2025)
RR
Nevada(5/16/2025)
RR
New York(1/2/2025)
IAR
Texas(9/29/2022)
RR
Texas(10/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
