HM
Herbert L. Modrak
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Madison Heights, VA 24572-2442
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CRD#: 5014495
HM
Professional summary
Herbert Leo Modrak III, who also goes by Herbert Leo Modrak III, Herbert Leo Modrak, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Madison Heights, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Madison Heights, Virginia.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Herbert has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herbert Leo Modrak Iii | Herbert Leo Modrak
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. RENTAL PROPERTY OWNER, RICHMOND, VA 01/2011, NIR 5/YR-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-10/WK-10/TRADING. SEE EMPLOYMENT FOR START DATE. 3. SMOKETREE COMMUNITY ASSOCITION, PO BOX 416, MIDLOTHIAN, VA, BOARD MEMBER OF A NON-PUBLIC ENTITY, NIR, 10/01/20, TREASURER, 1/MO- 0/TRADING 4. NOTARY, 11425 STILLBROOK RD, RICHMOND, VA, 08/12/20, NIR, 1/YR- 0/TRADING 5. TAG ADVISORS, 4801 Cox Rd, Suite 102, Glen Allen VA 23060, United States, 01/02/2018, Investment Advisor Representative, Employee (receive a W-2), NIR, 40 HR/MO - 40 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Leo Modrak III'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 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 5066 S Amherst Hwy Ste 104, Madison Heights, VA 24572-2442Office #2: 4801 Cox Rd. Ste 102, Glen Allen, VA 23060RIA
CRD#: 134139
Madison Heights, VA
Current
January 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 5066 S Amherst Highway Ste 104, Madison Heights, VA 24572Office #2: 4801 Cox Rd. Ste 102, Glen Allen, VA 23060BD
CRD#: 39543
Madison Heights, VA
Past
September 13, 2016 - January 4, 2019
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
September 13, 2016 - January 4, 2019
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
December 2, 2014 - June 7, 2016
WEALTHFORGE SECURITIES, LLC
BD
CRD#: 152550
RICHMOND, VA
Past
February 1, 2013 - January 2, 2015
CARY STREET PARTNERS
RIA
CRD#: 128545
RICHMOND, VA
Past
February 1, 2013 - January 2, 2015
CARY STREET PARTNERS
BD
CRD#: 128089
RICHMOND, VA
Past
September 2, 2011 - November 19, 2012
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
July 15, 2008 - November 19, 2012
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
July 19, 2007 - July 8, 2008
FIRST CLEARING, LLC
BD
CRD#: 17344
GLEN ALLEN, VA
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
Alabama(2/5/2019)
RR
Alaska(4/2/2021)
RR
Arizona(2/5/2019)
RR
Arkansas(4/2/2021)
RR
California(2/5/2019)
RR
Colorado(2/1/2019)
RR
Connecticut(2/5/2019)
RR
Delaware(2/5/2019)
RR
District of Columbia(2/1/2019)
RR
Florida(2/1/2019)
RR
Georgia(2/5/2019)
RR
Hawaii(2/1/2019)
RR
Idaho(11/22/2023)
RR
Illinois(2/5/2019)
RR
Indiana(2/5/2019)
RR
Iowa(2/5/2019)
RR
Kansas(8/1/2019)
RR
Kentucky(2/5/2019)
RR
Louisiana(2/20/2019)
RR
Maine(2/5/2019)
RR
Maryland(2/5/2019)
RR
Massachusetts(2/1/2019)
RR
Michigan(2/5/2019)
RR
Minnesota(2/5/2019)
RR
Mississippi(1/2/2020)
RR
Missouri(2/26/2019)
RR
Montana(2/1/2019)
RR
Nebraska(10/22/2020)
RR
Nevada(2/5/2019)
RR
New Hampshire(2/5/2019)
RR
New Jersey(2/5/2019)
RR
New Mexico(1/6/2020)
RR
New York(2/5/2019)
RR
North Carolina(2/1/2019)
RR
North Dakota(4/2/2021)
RR
Ohio(2/5/2019)
RR
Oklahoma(1/2/2020)
RR
Oregon(2/5/2019)
RR
Pennsylvania(2/5/2019)
RR
Puerto Rico(1/4/2021)
RR
Rhode Island(2/5/2019)
RR
South Carolina(2/5/2019)
RR
South Dakota(2/22/2022)
RR
Tennessee(2/1/2019)
RR
Texas(2/5/2019)
IAR
Texas(2/5/2019)
RR
Utah(2/5/2019)
RR
Vermont(2/5/2019)
RR
Virginia(1/2/2019)
IAR
Virginia(1/2/2019)
RR
Washington(2/5/2019)
RR
West Virginia(2/1/2019)
RR
Wisconsin(2/5/2019)
RR
Wyoming(10/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
