VG
Victor M. Gaxiola
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Morgan Hill, CA 95037
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CRD#: 4840638
VG
Professional summary
Victor Martin Gaxiola is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Morgan Hill, California.
Victor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Victor has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 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. LEADERSHIP MORGAN HILL, MORGAN HILL, CA, 11/2019. DIRECTOR, MANAGE CURRICULUM FOR STUDENTS. NIR-4/MO-2/TRADING. 2. VICTOR GAXIOLA, INVESTMENT ADVISOR REPRESENTATIVE, 15930 LA ESCUELA COURT, MORGAN HILL, CA, SUBJECT MATTER EXPERT CONSULTANT, 07/15/19, NIR, 8/MO- 0/TRADING 3. CIRA / 1776 PLEASANT PLAIN RD, FAIRFIELD, IA 52556 / AS ADVISORY REP OF A RIA / INV REL / 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 4. GERSON LEHRMAN GROUP, INC / MORGAN HILL, CA 95037 / NIR / COUNCIL MEMBER - CONSULTING & COACHING / 1 HR/MO - 0 HR/MO TRADING 5. REAL ESTATE / MORGAN HILL, CA 95037 / NIR / RENTAL PROPERTY HELD UNDER THE VICTOR AND KIMBERLY GAXIOLA REV TRUST / 2 HR/MO - 0 HR/MO TRADING 6. TechGirl Financial / Morgan Hill, CA 95037 / 10/2010 / Using as a trade name/dba / INV REL / 176 HR/MO - 110 Trading 7. Resilient Wealth Planning, 15930 La Escuela Court, Morgan Hill CA 95037, 01/2025, Owner, DBA Name, NIR, 40 HR/MO, 40 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Victor Martin Gaxiola'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
January 16, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 18181 Butterfield Ste 170, Morgan Hill, CA 95037RIA
CRD#: 134139
Morgan Hill, CA
Past
January 1, 2008 - October 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN JOSE, CA
Past
January 1, 2008 - October 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN JOSE, CA
Past
October 21, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
WOODSTOCK, IL
Past
October 7, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
WOODSTOCK, IL
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.Highlighted states indicate IAR registrations
IAR
California(1/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Morgan Hill, CA 95037TRUST BUT VERIFY
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