KL
Kathleen M. Ladra
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Lafayette, CA
Some features on this profile are disabled
CRD#: 4787011
KL
Professional summary
Kathleen Mary Ladra, who also goes by Kathleen M Ladra, Kathy Mary Ladra, Kathleen L Steinbrecher, Kathleen Ladra Steinbrecher, Kathy L Steinbrecher, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lafayette, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Walnut Creek, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kathleen has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen M Ladra | Kathy Mary Ladra | Kathleen L Steinbrecher | Kathleen Ladra Steinbrecher | Kathy L Steinbrecher
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) KATHY STEINBRECHER, 110 KINGFISHER BRENTWOOD CA, 01/2008, OWNER, PROPERTY RENTAL, NIR, 1 HR/MO 0 HR/MO TRADING 2) KATHY STEINBRECHER, 5040 BONWELL DR CONCORD CA, 03/1997, OWNER, PROPERTY RENTAL, NIR, 1 HR/MO 0 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO, 40 HR/MO TRADING, 09/2022 4) KATHY STEINBRECHER, LAFAYETTE CA, 09/2022, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 0 HR/MO 0 HR/MO TRADING 5) OMEGA INVESTMENT MANAGEMENT, LAFAYETTE CA, 09/2022, OWNER, BUSINESS ENTITY, INV REL, 160 HR/MO 120 HR/MO TRADING 6) ANIMAL COALITION GROUP, 1230 MONTICELLO RD LAFAYETTE CA 94549, 08/2023, PRESIDENT, NATURE COALITION, NIR, 5 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Mary Ladra'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
September 27, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1255 Treat Blvd. Suite 300, Walnut Creek, CA 94597RIA
CRD#: 134139
Lafayette, CA
Current
September 27, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1255 Treat Blvd. Ste. 300, Walnut Creek, CA 94597BD
CRD#: 39543
Walnut Creek, CA
Past
February 11, 2020 - September 29, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
WALNUT CREEK, CA
Past
April 7, 2017 - December 31, 2019
OMEGA INVESTMENT MANAGEMENT
RIA
CRD#: 287651
WALNUT CREEK, CA
Past
July 11, 2014 - February 10, 2020
COOPER MCMANUS
RIA
CRD#: 111458
WALNUT CREEK, CA
Past
July 10, 2014 - September 29, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WALNUT CREEK, CA
Past
March 8, 2010 - August 8, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
WALNUT CREEK, CA
Past
March 5, 2010 - August 8, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
WALNUT CREEK, CA
Past
June 1, 2009 - March 31, 2010
MORGAN STANLEY
RIA
CRD#: 149777
WALNUT CREEK, CA
Past
June 1, 2009 - March 31, 2010
MORGAN STANLEY
BD
CRD#: 149777
WALNUT CREEK, CA
Past
January 29, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WALNUT CREEK, CA
Past
January 25, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WALNUT CREEK, CA
Past
July 26, 2005 - August 31, 2006
WEDBUSH SECURITIES INC.
BD
CRD#: 877
SAN FRANCISCO, CA
Past
June 7, 2004 - June 7, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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(9/27/2022)
RR
California(9/27/2022)
IAR
California(9/28/2022)
RR
Colorado(9/27/2022)
RR
Florida(9/27/2022)
RR
Georgia(11/12/2024)
RR
Hawaii(2/29/2024)
RR
Michigan(5/7/2024)
RR
Minnesota(12/9/2022)
RR
Nevada(10/4/2022)
RR
New Jersey(9/27/2022)
RR
New Mexico(4/24/2024)
RR
New York(9/27/2022)
RR
Ohio(11/12/2024)
RR
Oregon(12/16/2023)
RR
Texas(9/27/2022)
IAR
Texas(9/27/2022)
RR
Utah(5/13/2025)
RR
Washington(9/27/2022)
RR
West Virginia(5/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
