JC
Joseph M. Costello
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Aurora, CO
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CRD#: 54917
JC
Professional summary
Joseph Michael Costello, who also goes by Joe Costello, Joseph Michael Costello, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Aurora, Colorado.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Joseph has worked at 11 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Costello | Joseph Michael Costello
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) Arcadia Settlements, 5613 DTC Parkway, Suite 700, Greenwood Village, CO 80111, 01/2000, Employee, CEO Emeritus, NIR, 0 HR/MO - 0 HR/MO Trading. 2) Sage Settlements, 11044 Research Blvd, Suite D230, Austin, TX 78759, 01/2016, Sub Agent, Insurance, INV REL, 20 HR/MO - 20 HR/MO Trading. 3) CASE Coalition, 5613 DTC Parkway, Suite 700, Greenwood Village, CO 80111, 01/2017, Independent Contractor, Marketing, INV REL, 20 HR/MO - 20 HR/MO Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Costello'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 3, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Aurora, CO
Past
January 16, 2018 - December 3, 2019
INVESTMENT RESEARCH CORP
RIA
CRD#: 108208
GREENWOOD VILLAGE, CO
Past
March 31, 2011 - December 31, 2018
WORLD CAPITAL BROKERAGE, INC.
BD
CRD#: 37
GREENWOOD VILLAGE, CO
Past
April 3, 2007 - December 16, 2010
EVOLVE SECURITIES, INC.
BD
CRD#: 127474
GREENWOOD VILLAGE, CO
Past
January 31, 1996 - December 20, 2006
FSC SECURITIES CORPORATION
BD
CRD#: 7461
GREENWOOD VILLAGE, CO
Past
January 10, 1991 - January 15, 1996
THINKEQUITY LLC
BD
CRD#: 20996
NEW YORK, NY
Past
January 25, 1985 - November 14, 1990
RANDOLPH SECURITIES COMPANY
BD
CRD#: 10685
BOULDER, CO
Past
June 28, 1984 - February 3, 1986
R.T. CALDWELL & CO., INCORPORATED
BD
CRD#: 14080
Past
December 5, 1983 - August 6, 1984
DIVERSE FINANCIAL CORP.
BD
CRD#: 8255
Past
April 19, 1983 - June 12, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 30, 1970 - May 2, 1983
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
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.Highlighted states indicate IAR registrations
IAR
Colorado(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/23/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
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.
