RH
Richard S. Habel
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Salt Lake City, UT 84121
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CRD#: 4968725
RH
Professional summary
Richard Steven Habel, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Salt Lake City, Utah and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Salt Lake City, Utah.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 3 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) HABEL PROPERTIES, LLC., 493 E Calinas Creek Cir, Murray, UT, 01/2003, Owner, Real Estate, NIR, 2 HR/MO, 0 HR/MO Trading 2) MURRAY EDUCATION FOUNDATION, 5102 Commerce Dr., Bldg. 1, Murray, UT, 03/2018, Board Member, Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO, 1 HR/MO Trading 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. START DATE 11/04/2021. 4) JJR SKINS, LLC 493 E CALINAS CREEK CIR, MURRAY, UT 84107, 11/03/2021, OWNER/CO-MANAGER, NIR, 0HR/MO, 0HR/MO TRADING 5) RSH CONSULTING, LLC, 493 E CALINAS CREEK CIR, MURRAY UT 84107, 10/2024, Owner, Expert Witness, NIR, 3 HR/MO, 0 HR/MO TRADING. 6) RICHARD HABEL, 6465 S 3000 E, Ste. 200, Salt Lake City UT 84121, 08/2022, Insurance Agent, Insurance/Benefits/Human Resources, NIR, 5HR/MO - 5HR/MO Trading. 7) MILLIEMT, LLC / 493 E Calinas Creek Cir, Murray UT 84107 / 01/2023 / OWNER, HOLDING COMPANY / NIR / 0 HR/MO 0 HR TRADING 8) GATEWAY PINES GROUP, LLC, 2436 W 700 S, Pleasant Grove UT 84062, United States, 09/11/2023, LLC, Real Estate, NIR, 2 HR/MO - 0 HR/MO TRADING 9) INVESTMENT MANAGEMENT CONSULTANTS, 6465 S 3000 E, Ste 200, Salt Lake City UT 84121, 11/2021, Wealth Manager, Using a Trade Name / DBA, INV REL, 0 HR/MO, 0 HR/MO TRADING. 10) MILLIE'S SUDS, LLC DBA EASY WASH, 6845 S 1300 E, Cottonwood Heights UT 84121, 12/2024, Owner, Retail Sales/Distribution, NIR, 10 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Steven Habel'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
November 3, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6465 S. 3000 E Suite 200, Salt Lake City, UT 84121RIA
CRD#: 134139
Salt Lake City, UT
Current
November 3, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6465 S 3000 E Ste 200, Salt Lake City, UT 84121BD
CRD#: 39543
Salt Lake City, UT
Past
January 7, 2015 - October 14, 2021
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
SALT LAKE CITY, UT
Past
November 12, 2014 - October 14, 2021
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SALT LAKE CITY, UT
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(11/3/2021)
RR
California(11/3/2021)
RR
Colorado(11/3/2021)
RR
Florida(11/3/2021)
RR
Idaho(11/3/2021)
RR
Nevada(11/3/2021)
RR
New Mexico(11/3/2021)
RR
North Carolina(11/15/2021)
RR
Texas(11/3/2021)
IAR
Texas(11/3/2021)
RR
Utah(11/3/2021)
IAR
Utah(11/4/2021)
RR
Washington(11/3/2021)
RR
Wyoming(11/3/2021)
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.
