RB
Ryan L. Brooks
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
West Des Moines, IA 50265
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CRD#: 5049324
RB
Professional summary
Ryan Lavern Brooks, who also goes by Ryan L Brooks, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in West Des Moines, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in West Des Moines, Iowa.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ryan has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan L Brooks
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.BROOKS HOLDINGS LLC, 65 FORD LANE, WAUKEE IA, 1/01/2018 AS OWNER OF LLC THAT OWNS RENTAL REAL ESTATE. NIR - 2/MO - 0/TRADING. 2.CAPITAL FINANCIAL PARTNERS, 545 5TH ST, WEST DES MOINES, IA, 7/2014 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/WK - 1/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. 10/20/18. 4.CAPITAL FINANCIAL PLANNING, 545 5th Street, West Des Moines IA 50265, United States, 07/22/2014, Owner, Owner/Partner of a Business, INV REL, 16 HR/MO - 4 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Lavern Brooks'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
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 545 5th St., West Des Moines, IA 50265RIA
CRD#: 134139
West Des Moines, IA
Current
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 545 5th St., West Des Moines, IA 50265BD
CRD#: 39543
West Des Moines, IA
Past
July 22, 2014 - October 20, 2018
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
WEST DES MOINES, IA
Past
July 22, 2014 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WEST DES MOINES, IA
Past
October 15, 2010 - July 24, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WEST DES MOINES, IA
Past
October 15, 2010 - July 24, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WEST DES MOINES, IA
Past
April 20, 2009 - September 13, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
DES MOINES, IA
Past
June 29, 2006 - September 13, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
DES MOINES, IA
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(10/20/2018)
RR
Arkansas(10/20/2018)
RR
California(10/20/2018)
RR
Colorado(10/20/2018)
RR
Florida(10/22/2018)
RR
Georgia(10/20/2018)
RR
Illinois(10/20/2018)
RR
Indiana(10/20/2018)
RR
Iowa(10/20/2018)
IAR
Iowa(10/20/2018)
RR
Kansas(10/20/2018)
RR
Louisiana(10/20/2018)
RR
Massachusetts(10/20/2018)
RR
Michigan(10/20/2018)
RR
Minnesota(10/20/2018)
RR
Missouri(10/20/2018)
RR
Nebraska(10/20/2018)
RR
New York(10/20/2018)
RR
North Carolina(10/20/2018)
RR
Oregon(10/20/2018)
RR
South Dakota(10/20/2018)
RR
Tennessee(9/26/2024)
RR
Texas(10/20/2018)
IAR
Texas(10/24/2018)
RR
Virginia(10/20/2018)
RR
Wisconsin(10/20/2018)
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
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139West Des Moines, IA 50265TRUST BUT VERIFY
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