EK
Elizabeth Kwoka
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wilmington, DE 19809
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CRD#: 5602125
EK
Professional summary
Elizabeth Kwoka, ChFC® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wilmington, Delaware and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wilmington, Delaware.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Elizabeth has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) FORESIGHT SOLUTIONS LLC, 381 BRITTON LAKE RD, THORNTON, PA, 1/2017 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/MO - 20/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) FORESIGHT SOLUTIONS LLC, 381 BRINTON LAKE RD, THORNTON, PA, 01/2019. OWNER, PROVIDING ACCOUNTING SERVICES. NIR-10/MO-2/TRADING. 4) ISAACS & ASSOCIATES, 232 Philadelphia Pike, Suite 1, Wilmington DE 19809, United States, 01/01/2022, Owner, Accounting/Bookkeeping/Payroll Services, NIR, 40 HR/MO - 20 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Kwoka'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
January 18, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 232 Philadelphia Pike Ste 1, Wilmington, DE 19809RIA
CRD#: 134139
Wilmington, DE
Current
January 18, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 232 Philadelphia Pike Ste 1, Wilmington, DE 19809BD
CRD#: 39543
Wilmington, DE
Past
March 6, 2012 - January 19, 2017
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
WEST CHESTER, PA
Past
November 11, 2011 - January 19, 2017
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
WEST CHESTER, PA
Past
September 8, 2009 - November 2, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
WILMINGTON, DE
Past
April 13, 2009 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
WILMINGTON, DE
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(8/20/2024)
RR
Colorado(3/24/2017)
RR
Connecticut(1/18/2017)
RR
Delaware(1/18/2017)
IAR
Delaware(1/4/2021)
RR
District of Columbia(8/20/2024)
RR
Florida(1/7/2022)
RR
Hawaii(8/20/2024)
RR
Louisiana(8/20/2024)
RR
Maryland(1/18/2017)
RR
Minnesota(8/20/2024)
RR
Nevada(8/20/2024)
RR
New Jersey(4/20/2021)
RR
North Carolina(1/18/2017)
RR
Ohio(8/20/2024)
RR
Pennsylvania(1/18/2017)
RR
South Carolina(8/20/2024)
RR
Texas(8/20/2024)
IAR
Texas(8/20/2024)
RR
Virginia(8/20/2024)
RR
West Virginia(8/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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#: 134139Wilmington, DE 19809TRUST BUT VERIFY
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