IU
Ivan G. Usztics
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Pompano Beach, FL
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CRD#: 5294993
IU
Professional summary
Ivan G Usztics, who also goes by IVan Gaste Usztics, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Pompano Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Boca Raton, Florida.
Ivan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ivan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ivan Gaste Usztics
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)GENERATIONS WEALTH ADVISORS LLC, 1300 N FEDERAL HWY, STE 2150, BOCA RATON, FL, 3/07/2014 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 5/TRADING. 2.SAFARI CLUB INTERNATIONAL - WEST PALM BEACH CHAPTER, 361 SE 3RD CT, POMPANO BEACH, FL, 5/16/2018 AS PRESIDENT. NIR - 4/MO - 0/TRADING. 3.CHANGING LIVES OUTDOORS, 361 SE 4RD CT, POMPANO BEACH, FL, 12/2017 AS OWNER OF LLC THAT GUIDES FISHING AND HUNTING TRIPS. NIR - 16/MO - 0/TRADING. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. 03/07/14. 5.FIRST TO THE FIGHT, INC. 361 SE 3RD CT, POMPANO BEACH, FL 11/2019 AS PRESIDENT OF ENTITY TO HELP RAISE FUNDS FOR SCHOLARSHIPS. NIR - 2/MO - 0/TRADING. 6. PALM BEACH COUNTY FIRE RESCUE, 405 PIKE RD, WEST PALM BEACH, FL, FIREFIGHTER, 03/23/20, NIR, 42/MO- 7 WK/TRADING 7. FLORIDA PUBLIC EMPLOYEES RETIREMENT ASSISTANCE, 1300 N FEDERAL HWY, STE 101, BOCA RATON, FL, 12/11/20, INV REL, 4/MO- 0/TRADING HR
CRS (Client Relationship Summary) - RIA
Click below to view Ivan G Usztics'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
March 11, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1300 N Federal Hwy., Ste 101, Boca Raton, FL 33432RIA
CRD#: 134139
Pompano Beach, FL
Current
March 7, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1300 N Federal Hwy Ste 101, Boca Raton, FL 33432BD
CRD#: 39543
Boca Raton, FL
Past
June 30, 2011 - March 7, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BOCA RATON, FL
Past
May 24, 2011 - March 7, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BOCA RATON, FL
Past
September 18, 2009 - February 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOCA RATON, FL
Past
September 16, 2009 - February 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOCA RATON, FL
Past
February 5, 2009 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PALM BEACH, FL
Past
January 8, 2009 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PALM BEACH, FL
Past
April 18, 2008 - November 18, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CAMP HILL, PA
Past
April 5, 2007 - November 18, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CAMP HILL, PA
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
Florida(3/10/2014)
IAR
Florida(3/11/2014)
RR
Pennsylvania(3/7/2014)
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.
