AF
Adam Fallert
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glendale, CA 91210
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CRD#: 5605188
AF
Professional summary
Adam Fallert, who also goes by Adam Paulson Fallert, Adam S Fallert, Adam Stewart Paulson Fallert, Adam Stewart Fallert, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glendale, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Glendale, California.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Adam has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Paulson Fallert | Adam S Fallert | Adam Stewart Paulson Fallert | Adam Stewart Fallert
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) Thrivent Advisor Network dba Thrivent Advisor Network Southwest. Investment-related. At registered location. RIA. Financial Advisor. Start: 01/2023. 160 hrs/month; all during trading hours. Financial Advisor. 2) Fixed Insurance. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start: 01/2023. 4hrs/month; all during trading hours. Sales of Fixed / Traditional insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Fallert'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
November 6, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 W Broadway Ste. 500, Glendale, CA 91210RIA
CRD#: 134139
Glendale, CA
Current
November 6, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 West Broadway Ste 500, Glendale, CA 91210BD
CRD#: 39543
Glendale, CA
Past
November 12, 2024 - October 9, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EL SEGUNDO, CA
Past
November 8, 2024 - October 9, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
EL SEGUNDO, CA
Past
November 21, 2023 - November 7, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Manhattan Bch, CA
Past
November 9, 2023 - November 7, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Manhattan Bch, CA
Past
February 3, 2023 - October 2, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Ontario, CA
Past
January 9, 2023 - October 10, 2023
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Ontario, CA
Past
February 2, 2022 - October 17, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
IRVINE, CA
Past
February 2, 2022 - October 17, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
IRVINE, CA
Past
September 1, 2020 - December 14, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
LOS ANGELES, CA
Past
September 1, 2020 - December 14, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
LOS ANGELES, CA
Past
January 6, 2020 - September 4, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
HEATHROW, FL
Past
January 3, 2020 - September 4, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
HEATHROW, FL
Past
January 16, 2018 - June 27, 2019
FISHER INVESTMENTS
RIA
CRD#: 107342
CAMAS, WA
Past
October 2, 2012 - January 10, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
SAINT PETERSBURG, FL
Past
May 3, 2012 - January 10, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
SAINT PETERSBURG, 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
California(11/6/2025)
IAR
California(11/6/2025)
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.
