SE
Steven T. Ewen
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Highlands Ranch, CO
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CRD#: 4470143
SE
Professional summary
Steven T Ewen is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Highlands Ranch, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Golden, Colorado.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. KANSAS CITY LIFE, 3520 BROADWAY, KANSAS CITY, MO, 06/2004. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-10/MO-10/TRADING. 2. CENTENNIAL CAPITAL PARTNERS, 13984 WEST BOWLES AVE STE 200, LITTLETON, CO, 08/2019. FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-40/WK-35/TRADING. 3. DIBROKER WEST, 16325 SW BOONES FERRY RD STE 101, LAKE OSWEGO, OR, 03/2018. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-0/WK-0/TRADING. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 5. ALLEGIS, 10235 SOUTH JORDAN GATEWAY, SOUTH JORDAN, UT, FINANCIAL ADVISOR, INSURANCE SALES- LIFE, 01/09/20, INV REL- 5/MO- 5/TRADING 6. ACCELERATED INSURANCE GROUP, 10700 E GEDDES,STE 150, ENGLEWOOD, CO, FINANCIAL ADVISOR, INSURANCE SALES, 03/02/20, NIR, 2/MO- 2/TRADING 7. EWEN FINANCIAL SERVICES, LLC, 2601 Baneberry Ct, Highlands Ranch CO 80129, United States, 06/27/2022, Owner, Using a Trade Name/dba, NIR, 2 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Steven T Ewen'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
August 26, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 350 Indiana Street Ste 730, Golden, CO 80401RIA
CRD#: 134139
Highlands Ranch, CO
Current
August 26, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 350 Indiana Street, Suite 730, Golden, CO 80401BD
CRD#: 39543
Golden, CO
Past
January 3, 2013 - August 22, 2019
CREATIVEONE SECURITIES, LLC
RIA
CRD#: 152974
Highlands Ranch, CO
Past
January 3, 2013 - August 22, 2019
CREATIVEONE SECURITIES, LLC
BD
CRD#: 152974
Highlands Ranch, CO
Past
July 27, 2004 - December 31, 2012
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
GREENWOOD VILLAGE, CO
Past
July 2, 2004 - December 31, 2012
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
GREENWOOD VILLAGE, CO
Past
May 3, 2004 - June 28, 2004
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
DENVER, CO
Past
November 8, 2001 - June 28, 2004
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, 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
Arizona(8/26/2019)
RR
California(3/2/2021)
RR
Colorado(8/26/2019)
IAR
Colorado(8/26/2019)
RR
Connecticut(12/6/2022)
RR
Florida(12/6/2022)
RR
Idaho(3/2/2021)
RR
Indiana(5/1/2023)
RR
Maryland(3/2/2021)
RR
Montana(2/24/2023)
RR
Nevada(8/26/2019)
RR
New York(8/26/2019)
RR
Ohio(8/26/2019)
RR
South Dakota(1/2/2024)
RR
Texas(8/26/2019)
IAR
Texas(8/26/2019)
RR
Utah(3/21/2022)
RR
Washington(3/2/2021)
RR
Wyoming(8/26/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
