NK
Nicholas A. Kralj
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Lake Oswego, OR 97035
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CRD#: 4465362
NK
Professional summary
Nicholas Andrew Kralj, who also goes by Nicholas A Kralj, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lake Oswego, Oregon and HUB INTERNATIONAL INVESTMENT SERVICES INC. located in Kansas City, Missouri.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Nicholas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas A Kralj
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.HUB Northwest, 12100 NE 195th St #200, Bothell, WA 98011, Retirement Consultant since 3/1/17, investment related, 40 hours weekly, 25 during trading hours. 2.HUB INTERNATIONAL INVESTMENT SECURITIES, 2393 TOWNSGATE RD, STE 101, WESTLAKE VILLAGE, CA, 3/2017 AS REGISTERED REPRESENTATIVE OF A B/D & ADVISORY REP OF A RIA. INV REL - 1/WK - 1/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4. CAMAS LITTLE LEAGUE, Camas WA 98607, 10/2021, President, ATHLETICS, NIR, 10 HR/MO - 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Andrew Kralj'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
March 13, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2 Centerpointe Dr. Ste. 650, Lake Oswego, OR 97035RIA
CRD#: 134139
Lake Oswego, OR
Current
March 13, 2017 - Present
HUB INTERNATIONAL INVESTMENT SERVICES INC.
Office #1: 9200 Ward Parkway, Suite 500, Kansas City, MO 64114BD
CRD#: 150252
Kansas City, MO
Current
March 13, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 2 Centerpointe Dr. Ste. 650, Lake Owsego, OR 97035BD
CRD#: 39543
Camas, WA
Past
March 29, 2017 - December 8, 2020
HUB INTERNATIONAL INVESTMENT SERVICES INC.
RIA
CRD#: 150252
Portland, OR
Past
November 21, 2014 - March 13, 2017
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
PORTLAND, OR
Past
September 12, 2014 - March 14, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PORTLAND, OR
Past
September 27, 2011 - November 17, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
PORTLAND, OR
Past
June 2, 2009 - September 12, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
PORTLAND, OR
Past
June 30, 2003 - June 8, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
PORTLAND, OR
Past
May 27, 2002 - July 2, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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
Alaska(4/28/2021)
RR
Arizona(9/6/2017)
RR
California(7/15/2021)
RR
Hawaii(1/2/2024)
RR
Mississippi(1/2/2025)
RR
Montana(9/5/2017)
RR
Nebraska(1/2/2024)
RR
New Jersey(12/13/2023)
RR
Oregon(3/13/2017)
IAR
Oregon(3/13/2017)
RR
Washington(3/13/2017)
IAR
Washington(10/19/2023)
Exams
State Security Law Exam
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
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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.
