SS
Soumit Sarkar
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Princeton, NJ 08540
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CRD#: 5524717
SS
Professional summary
Soumit Sarkar, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Princeton, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Princeton, New Jersey.
Soumit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Soumit has worked at 8 firms and has passed the Series 66, SIE and Series 7 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.
1) STRONG FINANCIAL PARTNERS LLC, 475 Wall St, Princeton NJ 08540, 02/2025, OWNER, DBA NAME, NIR, 135 HR/MO - 120 HR/MO TRADING. 2) SOUMIT SARKAR, 475 Wall St, Princeton NJ 08540, 02/2025, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 40 HR/MO - 10 HR/MO TRADING. 3) SIGMA CONSULTANTS, 475 Wall St, Princeton NJ 08540, 02/2025, OWNER, CONSULTING/COACHING, NIR 30 HR/MO - 10 HR/MO TRADING. 4) SOUMIT SARKAR, 475 Wall St, Princeton NJ 08540, 02/2025, OWNER, LIFE SETTLEMENTS, NIR, 10 HR/MO - 5 HR/MO TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 02/2025
CRS (Client Relationship Summary) - RIA
Click below to view Soumit Sarkar'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
February 4, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 475 Wall St., Princeton, NJ 08540RIA
CRD#: 134139
Princeton, NJ
Current
February 4, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 475 Wall St., Princeton, NJ 08540BD
CRD#: 39543
Princeton, NJ
Past
February 4, 2021 - February 5, 2025
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
Princeton, NJ
Past
February 4, 2021 - February 5, 2025
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
PRINCETON, NJ
Past
April 7, 2016 - February 4, 2021
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
Princeton, NJ
Past
March 5, 2012 - February 4, 2021
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
PRINCTON, NJ
Past
October 19, 2009 - January 10, 2011
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
October 19, 2009 - January 10, 2011
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
June 27, 2008 - March 13, 2009
STANCHART SECURITIES INTERNATIONAL, INC.
BD
CRD#: 145126
MIAMI, 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
Colorado(2/4/2025)
RR
Florida(2/4/2025)
RR
Georgia(2/4/2025)
RR
Massachusetts(2/4/2025)
RR
Minnesota(2/4/2025)
RR
New Jersey(2/4/2025)
IAR
New Jersey(2/4/2025)
RR
New York(2/4/2025)
RR
Pennsylvania(2/4/2025)
RR
Wyoming(2/4/2025)
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
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#: 134139Princeton, NJ 08540TRUST BUT VERIFY
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