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Carter J. Cowan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Tulsa, OK 74133
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CRD#: 4900948
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Professional summary
Carter James Cowan, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Tulsa, Oklahoma and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Tulsa, Oklahoma.
Carter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Carter has worked at 5 firms and has passed the Series 66, SIE 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) CARTER COWAN 7666 E. 61ST ST., SUITE 350 TULSA, OK 74133. BEGAN 09/09/2011 AS INDEPENDENT INSURANCE AGENT THAT SELLS AND SERVICES LIFE AND LONG TERM CARE INSURANCE TO PROTECT FINANCIAL ASSETS OF CLIENTS AND THEIR BENEFICIARIES. INVESTMENT RELATED. DEVOTES 4 HRS/MNTH. .5 HRS DURING TRADING. 2) NORTHSTAR WEALTH MANAGEMENT LLC 7666 E. 61ST ST., SUITE 350 TULSA, OK 74133. BEGAN 09/09/2011 AS FINANCIAL ADVISOR THAT MANAGES CLIENT ASSETS AND PREPARES FINANCIAL PLANS FOR A FEE OR ON A COMMISSION BASIS. INVESTMENT RELATED. DEVOTES 0 HRS. NONE DURING TRADING. 3) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 4) LEGAL SHIELD; NOT INVESTMENT RELATED; 1 PREPAID WAY ADA, OK 74820; INDEPENDENT ASSOCIATE; BEGAN 7/7/14; 3 HOURS/MO, NONE DURING TRADING HOURS; AS A LEGAL SHIELD ASSOCIATE I WILL BE ABLE TO OFFER MY CLIENTS/FRIENDS PRE-PAID LEGAL SERVICES AND IDENTITY THEFT PROTECTION FOR A LOW MONTHLY FEE 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 09/09/2011 6) NORTHSTAR WEALTH MANAGEMENT LLC, 6660 S Sheridan Rd, Suite 205, Tulsa OK 74133, United States, 01/02/2024, Owner, Owner/Partner of a Business Entity, NIR, 4 HR/MO - 2 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Carter James Cowan'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®
Experience
Current
September 9, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6660 S Sheridan Rd Suite 260, Tulsa, OK 74133RIA
CRD#: 134139
Tulsa, OK
Current
September 9, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6660 S Sheridan Rd Ste 205, Tulsa, OK 74133BD
CRD#: 39543
Tulsa, OK
Past
June 1, 2009 - October 3, 2011
MORGAN STANLEY
RIA
CRD#: 149777
TULSA, OK
Past
June 1, 2009 - October 3, 2011
MORGAN STANLEY
BD
CRD#: 149777
TULSA, OK
Past
May 16, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
TULSA, OK
Past
May 16, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
TULSA, OK
Past
April 26, 2005 - May 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TULSA, OK
Past
March 25, 2005 - May 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TULSA, OK
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
Arkansas(10/9/2020)
RR
Colorado(9/9/2011)
RR
Florida(8/27/2020)
RR
Georgia(7/25/2019)
RR
Illinois(8/18/2023)
RR
Indiana(2/15/2023)
RR
Michigan(7/31/2025)
RR
North Carolina(9/8/2020)
RR
Ohio(11/7/2024)
RR
Oklahoma(9/9/2011)
IAR
Oklahoma(9/9/2011)
RR
Texas(9/17/2012)
IAR
Texas(9/17/2012)
RR
Utah(10/2/2018)
RR
Virginia(10/31/2022)
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
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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#: 134139Tulsa, OK 74133TRUST BUT VERIFY
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