LW
Lucila A. Williams
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Denver, CO 80237
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CRD#: 4792775
LW
Professional summary
Lucila Ann Williams, CFP®, ChFC®, who also goes by Lucila Ann Guzman, Lucila Ann Peterson, Lucila Ann Romine, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Denver, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Denver, Colorado.
Lucila is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lucila has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Education Planning
Employee and Employer Plan Ben...
Insurance Planning
Retirement Planning
Debt Management
Budgeting
Investment Planning
Divorce Planning
What is your minimum asset requirement?
1
How do you get paid?
Commission and Fee
Are you a "fiduciary"?
Yes
Aliases
Lucila Ann Guzman | Lucila Ann Peterson | Lucila Ann Romine
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) CANYONERO SERVICES, INC, 3104 S COLUMBINE ST, DENVER, CO, 11/2012, OWNER, DBA, NIR, 0 HR/MO, 0 HR/MO TRADING. 2) LOTUS FINANCIAL PARTNERS, 9175 E KENYON AVE, DENVER, CO, 11/2012, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/MO, 5 HR/MO TRADING. 3) THE INTERNTIONAL ADVISOR, 9175 E KENYON AVE, DENVER, CO, 07/2015, PRACTICE MANAGEMENT COACHING, CONSULTANT, NIR, 40 HR/MO, 40 HR/MO TRADING. 4) KENYONERO PROPERTIES LLC, 9175 E KENYON AVE, DENVER, CO, 09/2020, OWNER, COMMERCIAL PROPERTY MANAGEMENT, NIR, 3 HR/MO, 0 HR/MO TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 04/2021, INVESTMENT ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Lucila Ann Williams'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®
CFP®
Start date: 2008
Experience
Current
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9175 E. Kenyon Ave Suite 100, Denver, CO 80237RIA
CRD#: 134139
Denver, CO
Current
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9175 E Kenyon Ave Suite 100, Denver, CO 80237BD
CRD#: 39543
Denver, CO
Past
November 2, 2012 - April 27, 2021
OSAIC FS, INC.
RIA
CRD#: 3870
DENVER, CO
Past
November 2, 2012 - April 27, 2021
OSAIC FS, INC.
BD
CRD#: 3870
DENVER, CO
Past
September 2, 2005 - October 19, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
DENVER, CO
Past
January 4, 2005 - September 2, 2005
FIRST COMMAND BANK
RIA
CRD#: 128851
FORT WORTH, TX
Past
May 24, 2004 - October 19, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
DENVER, CO
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(8/28/2024)
RR
Colorado(4/23/2021)
IAR
Colorado(4/23/2021)
RR
Kansas(9/4/2025)
RR
Missouri(7/2/2025)
RR
New Mexico(8/5/2025)
RR
Oregon(4/23/2021)
RR
Pennsylvania(8/16/2024)
RR
South Carolina(1/3/2023)
RR
South Dakota(4/23/2021)
RR
Texas(5/12/2025)
IAR
Texas(5/12/2025)
RR
Utah(2/14/2025)
RR
Virginia(4/23/2021)
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Denver, CO 80237TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
