JC
Jose L. Chavez
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Cincinnati, OH 45230
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CRD#: 4749072
JC
Professional summary
Jose Luis Chavez, who also goes by Jose L Chavez Jr., Jose L Chavez, Jose Luis Chavez Jr, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cincinnati, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Cincinnati, Ohio.
Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Jose has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jose L Chavez Jr. | Jose L Chavez | Jose Luis Chavez Jr
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. The Rosselot Financial Group,7426 Jager Court, Cincinnati, OH 45230; Began 06/02/16, Agent, Insurance/Benefits/Human Resources, INV REL, 160HR/MO, 120HR/trading 2. CIRA,1776 Pleasant Plan Road, Fairfield, IA 52556; 10/16/17, IAR, INV REL, 160 HR/MO, 120HR Trading 3. UBER, CINCINNATI, OH, 1/04/2019, RIDESHARE DRIVER, Travel, NIR, 1HR/MO - 0HR/TRADING. 4. Cincinnati Nature Center, 4949 Tealtown Road, Milford OH 45150, United States, Start Date: 04/2023, Role: Committee Member, Nature: Volunteer, Investment Related: No, Hours/Month: 2, Securities Trading Hours/Month: 0
CRS (Client Relationship Summary) - RIA
Click below to view Jose Luis Chavez'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
October 17, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 7426 Jager Ct., Cincinnati, OH 45230RIA
CRD#: 134139
Cincinnati, OH
Current
October 16, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 7426 Jager Ct., Cincinnati, OH 45230BD
CRD#: 39543
Cincinnati, OH
Past
March 2, 2016 - October 17, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CINCINNATI, OH
Past
March 2, 2016 - October 17, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CINCINNATI, OH
Past
May 21, 2012 - December 17, 2015
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CINCINNATI, OH
Past
May 21, 2012 - December 17, 2015
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CINCINNATI, OH
Past
March 17, 2009 - April 19, 2012
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
January 1, 2008 - April 18, 2012
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
August 4, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
COVINGTON, KY
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
Kentucky(10/16/2017)
RR
New York(1/4/2021)
RR
Ohio(10/16/2017)
IAR
Ohio(10/17/2017)
RR
Texas(10/16/2024)
IAR
Texas(10/16/2024)
RR
Virginia(8/8/2022)
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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Cincinnati, OH 45230TRUST BUT VERIFY
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