RH
Richard E. Harman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Ormond Beach, FL 32174
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CRD#: 5374251
RH
Professional summary
Richard Eugene Harman III, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Ormond Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ormond Beach, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Eugene Harman 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®
Experience
Current
April 17, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1395 West Granada Blvd., Ormond Beach, FL 32174Office #2: 5537 S. Williamson Blvd, Suite 754, Port Orange, FL 32128RIA
CRD#: 134139
Ormond Beach, FL
Current
April 17, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1395 West Granada Blvd., Ormond Beach, FL 32174Office #2: 5537 S. Williamson Blvd, Suite 754, Port Orange, FL 32128BD
CRD#: 39543
Ormond Beach, FL
Past
November 29, 2017 - May 2, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
PORT ORANGE, FL
Past
November 29, 2017 - May 2, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
PORT ORANGE, FL
Past
November 6, 2008 - December 6, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
ORMOND BEACH, FL
Past
October 31, 2008 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ORMOND BEACH, FL
Past
July 20, 2007 - November 4, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
ORMOND BEACH, FL
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(4/17/2018)
RR
Arizona(4/17/2018)
RR
California(4/17/2018)
RR
Colorado(4/17/2018)
RR
Connecticut(4/17/2018)
RR
Delaware(4/17/2018)
RR
Florida(4/17/2018)
IAR
Florida(4/20/2018)
RR
Georgia(4/17/2018)
RR
Hawaii(4/17/2018)
RR
Illinois(4/17/2018)
RR
Indiana(10/14/2020)
RR
Kansas(4/17/2018)
RR
Kentucky(4/17/2018)
RR
Maine(4/17/2018)
RR
Maryland(4/17/2018)
RR
Massachusetts(4/17/2018)
RR
Michigan(4/17/2018)
RR
Minnesota(4/17/2018)
RR
Mississippi(11/18/2020)
RR
Missouri(4/17/2018)
RR
Nevada(4/17/2018)
RR
New Hampshire(4/17/2018)
RR
New Jersey(4/17/2018)
RR
New Mexico(4/17/2018)
RR
New York(4/17/2018)
RR
North Carolina(4/17/2018)
RR
Ohio(4/17/2018)
RR
Oklahoma(5/23/2024)
RR
Pennsylvania(4/17/2018)
RR
Puerto Rico(4/17/2018)
RR
Rhode Island(4/17/2018)
RR
South Carolina(4/17/2018)
RR
Tennessee(4/17/2018)
RR
Texas(4/17/2018)
IAR
Texas(4/17/2018)
RR
Vermont(1/2/2019)
RR
Virginia(4/17/2018)
RR
Washington(4/17/2018)
RR
West Virginia(4/17/2018)
RR
Wisconsin(4/17/2018)
Exams
State Security Law Exam
General 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Ormond Beach, FL 32174TRUST BUT VERIFY
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