CP
Cody D. Phelps
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
West Des Moines, IA 50266
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CRD#: 5597493
CP
Professional summary
Cody Daniel Phelps, who also goes by Cody Phelps, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in West Des Moines, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in West Des Moines, Iowa.
Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Cody has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cody Phelps
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. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-40HR/MO-10HR/TRADING. 10/20/2018 2. JORDAN CREEK FINANCIAL SOLUTIONS, 1225 Jordan Creek Pkwy, Suite 104, West Des Moines IA 50266, United States, 10/22/2018, IAR, DBA Name, INV REL, 40 HR/MO - 40 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Cody Daniel Phelps'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
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1225 Jordan Creek Pkwy. Ste. 104, West Des Moines, IA 50266RIA
CRD#: 134139
West Des Moines, IA
Current
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1225 Jordan Creek Pkwy. Ste. 104, West Des Moines, IA 50266Office #2: 1225 Jordan Creek Pkwy. Ste. 104, West Des Moines, IA 50266BD
CRD#: 39543
West Des Moines, IA
Past
September 19, 2011 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WEST DES MOINES, IA
Past
September 16, 2011 - October 20, 2018
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
WEST DES MOINES, IA
Past
June 28, 2010 - August 30, 2011
EDWARD JONES
RIA
CRD#: 250
DES MOINES, IA
Past
June 14, 2010 - August 30, 2011
EDWARD JONES
BD
CRD#: 250
DES MOINES, IA
Past
October 29, 2008 - May 24, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
MENOMONEE FALLS, WI
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(10/7/2019)
RR
Alaska(10/7/2019)
RR
Arizona(10/7/2019)
RR
Arkansas(10/7/2019)
RR
California(10/7/2019)
RR
Colorado(10/7/2019)
RR
Connecticut(10/7/2019)
RR
Delaware(10/7/2019)
RR
District of Columbia(10/7/2019)
RR
Florida(10/7/2019)
RR
Georgia(10/7/2019)
RR
Hawaii(10/7/2019)
RR
Idaho(10/7/2019)
RR
Illinois(10/7/2019)
RR
Indiana(10/7/2019)
RR
Iowa(10/20/2018)
IAR
Iowa(10/20/2018)
RR
Kansas(10/7/2019)
RR
Kentucky(10/20/2018)
RR
Louisiana(10/7/2019)
RR
Maine(10/7/2019)
RR
Maryland(10/7/2019)
RR
Massachusetts(10/7/2019)
RR
Michigan(10/7/2019)
RR
Minnesota(10/7/2019)
RR
Mississippi(10/7/2019)
RR
Missouri(10/7/2019)
RR
Montana(10/7/2019)
RR
Nebraska(10/7/2019)
RR
Nevada(10/7/2019)
RR
New Hampshire(10/7/2019)
RR
New Jersey(10/7/2019)
RR
New Mexico(10/7/2019)
RR
New York(10/7/2019)
RR
North Carolina(10/7/2019)
RR
North Dakota(10/7/2019)
RR
Ohio(10/7/2019)
RR
Oklahoma(10/7/2019)
RR
Oregon(10/7/2019)
RR
Pennsylvania(10/7/2019)
RR
Puerto Rico(10/7/2019)
RR
Rhode Island(10/7/2019)
RR
South Carolina(10/7/2019)
RR
South Dakota(10/7/2019)
RR
Tennessee(10/7/2019)
RR
Texas(10/20/2018)
IAR
Texas(10/24/2018)
RR
Utah(10/7/2019)
RR
Vermont(10/7/2019)
RR
Virginia(10/7/2019)
RR
Washington(10/7/2019)
RR
West Virginia(10/7/2019)
RR
Wisconsin(10/7/2019)
RR
Wyoming(10/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 134139West Des Moines, IA 50266TRUST BUT VERIFY
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