Kristen J. Hafner
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Simi Valley, CA
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CRD#: 5466178
Professional summary
Kristen Janeene Hafner, CFP®, who also goes by Kristen J Budd, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Simi Valley, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Westlake Village, California.
Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kristen has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristen J Budd
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)KRISTEN HAFNER, INDEPENDENT INSURANCE AGENT, 2945 TOWNSGATE RD, STE 200, WESTLAKE VILLAGE, CA, 5/2010 FOR INDEPENDENT INSURANCE COMPANIES.INV REL - 2/MO - 0/TRADING. 2)FINANCIAL MOXIE INC. DBA DIVORCE MOXIE, 141 Deusenberg Drive, Ste. 7B, Westlake Village CA 91362, 07/2011, Founder, Divorce Planning Services, INV REL, 80 HR/MO - 8 HR/MO Trading. 3)FINANCIAL PLANNING ASSOCIATION VENTURA COUNTY CHAPTER. CAMARILLO, CA, 01/2019 AS CHAPTER PRESIDENT. NIR - 3 HR/MO, NONE DURING TRADING. 4)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 2/TRADING. 07/16/09. 5)MOXIE BOOTCAMP, 50 S. 9th Street, Fairfield IA 52556, 03/2019. FOUNDER, FOOD, FITNESS, FINANCE EDUCATION, NIR, 24 HR/MO - 4 HR/MO TRADING. 6)THE W SOURCE, 4695 MACARTHUR COURT STE 480, NEWPORT BEACH, CA, 04/2019. CHAPTER LEADER, RECRUIT NEW MEMBERS AND ATTEND MEETINGS. NIR-3/MO-0/TRADING. 7)DBA MOXIE TRIBES, 2945 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA, 09/2010. FINANCIAL PROFESSIONAL UTILIZING DBA NAMES, Financial Moxie, Divorce Moxie, Moxie Voice, Moxie Bootcamp, & Financial Happiness. INV REL-10/WK-1/TRADING. 8)SILVER CIRCLE, CALABASAS, CA, NETWORKING GROUP, 06/01/20, INV REL, 2/MO- 0/TRADING 9)ECHELON BUSINESS DEVELOPMENT, SIMI VALLEY, CA, NETWORKING GROUP, 05/01/20, INV REL, 2/MO- 0/TRADING 10)FINANCIAL MOXIE, INC. 50 S 9TH STREET, FAIRFIELD, IA, RENTAL PROPERTY OWNER, 03/26/21, NIR, 1 HR/MO- 0/TRADING HR. 11)509 FAIRFIELD PROPERTIES, LLC, 50 S. 9th Street, Fairfield IA 52556, 11/2022, Managing Member, Real Estate, NIR, 1 HR/MO - 0 HR/MO Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Kristen Janeene Hafner'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®
CFP®
Start date: 2009
Experience
Current
July 16, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 141 Duesenberg Dr. Suite 8, Westlake Village, CA 91362RIA
CRD#: 134139
Simi Valley, CA
Current
July 16, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WESTLAKE VILLAGE, CA
Past
January 14, 2009 - June 1, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WESTLAKE VILLAGE, CA
Past
May 8, 2008 - November 20, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WESTLAKE VILLAGE, CA
Past
February 6, 2008 - June 1, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WESTLAKE VILLAGE, CA
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(5/11/2012)
RR
California(7/16/2009)
IAR
California(7/16/2009)
RR
Colorado(5/12/2015)
RR
Connecticut(3/14/2025)
RR
Florida(5/18/2021)
RR
Illinois(9/25/2014)
RR
Iowa(1/2/2020)
IAR
Iowa(11/18/2021)
RR
Michigan(1/2/2014)
RR
New York(1/3/2025)
RR
Ohio(1/4/2021)
RR
Pennsylvania(6/21/2018)
RR
Texas(6/20/2012)
IAR
Texas(6/21/2012)
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
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.
