AC
Azeb G. Clark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
San Francisco, CA
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CRD#: 4647657
AC
Professional summary
Azeb Gessesse Clark, who also goes by Azeb G Clark, Azeb Clark, Azeb Gessesse, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in San Francisco, California and DBA TANA INVESTMENT ADVISORS located in San Francisco, California.
Azeb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Azeb has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Azeb G Clark | Azeb Clark | Azeb Gessesse
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) GATEWAY FINANCIAL ADVISORS INC, 4101 DUBLIN BLVD STE F PMB 57, DUBLIN, CA, 4/2010 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 8/MO - 2/TRADING. 2) TANA INVESTMENT ADVISORS, 870 MARKET ST #1163, SAN FRANCISCO, CA, 8/2007 AS OWNER/PRINCIPAL/ADVISORY REP OF A RIA. INV REL - 0 HRS. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 4/2010 AS ADVISORY REP OF A RIA. INV REL - 60/WK - 30/TRADING. 4) MALCOLM CLARK DBA BAHO RENTALS, 539 7th avenue, San Francisco CA 94118, 12/2022, Owner, Room Rental in Home, NIR, 5 HR/MO - 0 HR/MO Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Azeb Gessesse Clark'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
April 14, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: One Embarcadero, Suite 1200, San Francisco, CA 94111RIA
CRD#: 134139
San Francisco, CA
Current
February 25, 2019 - Present
DBA TANA INVESTMENT ADVISORS
Office #1: Four Embarcadero Suite 1400, San Francisco, CA 94111RIA
CRD#: 144392
San Francisco, CA
Current
April 13, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: One Embarcadero, Suite 1200, San Francisco, CA 94111BD
CRD#: 39543
San Francisco, CA
Past
May 18, 2007 - March 31, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SAN FRANCISCO, CA
Past
May 18, 2007 - March 31, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SAN FRANCISCO, CA
Past
May 7, 2007 - May 23, 2007
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
SAN FRANCISCO, CA
Past
May 4, 2007 - May 23, 2007
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
SAN FRANCISCO, CA
Past
April 2, 2007 - May 10, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
OAKLAND, CA
Past
April 2, 2007 - May 10, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
OAKLAND, CA
Past
August 28, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
OAKLAND, CA
Past
July 18, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
OAKLAND, 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(4/13/2010)
IAR
California(4/14/2010)
RR
Connecticut(6/13/2023)
RR
Florida(1/3/2017)
RR
Georgia(1/2/2013)
RR
Illinois(4/13/2010)
RR
New Mexico(2/28/2011)
RR
New York(4/13/2010)
RR
Ohio(1/3/2024)
RR
Virginia(4/13/2010)
RR
Washington(7/13/2011)
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
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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.
