Brian A. Sokol
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Toledo, IA 52342
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CRD#: 5648071
Professional summary
Brian Allen Sokol, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Toledo, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Toledo, Iowa.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Brian has worked at 3 firms and has passed the Series 63, 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) TAMA COUNTY DAY CARE, 403 COMMERCIAL ST, TOLEDO, IA, 09/2018, PRESIDENT, CHILD CARE ORGANIZATION, NIR, 8 HR/MO, 0 HR/MO TRADING. 2) CITY OF TOLEDO, IA, PROSPECT DRIVE, TOLEDO, IA, 01/2020, MAYOR, NIR, 8 HR/MO, 0 HR/MO TRADING. 3) TAMA TOLEDO CHAMBER OF COMMERCE, E HIGH ST, TOLEDO,IA, 09/2018, VICE PRESIDENT, COMMUNITY ORGANIZATION, NIR, 8 HR/MO, 0 HR/MO TRADING. 4) BRIAN SOKOL, TOLEDO, IA,0 9/2018, OWNER, RAISING CATTLE & CROPS, NIR, 80 HR/MO, 0 HR/MO TRADING. 5) TAMA COUNTY COMMUNITY FOUNDATION, PROSPECT DR, TOLEDO, IA, 09/2018, BOARD MEMBER, NIR, 3 HR/MO, 0 HR/MO TRADING. 6) TAMA COUNTY INVESTMENT SERVICES, 1003 S COUNTY RD, TOLEDO, IA, 09/2018, MANAGER, TAX PREPARATION, NIR, 15 HR/MO, 10 HR/MO TRADING. 7) STATE BANK OF TOLEDO, 1003 S COUNTRY RD, TOLEDO, IA, 11/2017. NOTARY PUBLIC, NIR, 1 HR/YR, 1 HR/YR TRADING. 8) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA. INV REL, 80 HR/MO, 80 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 9) STATE BANK OF TOLEDO, 1003 S COUNTY RD, TOLEDO, IA, 05/2009. MANAGER, TRUST SERVICES PROVIDER. INV REL, 35 HR/MO, 30 HR/MO TRADING. 10) BCH LIFE, 1003 S COUNTY RD, TOLEDO, IA, 05/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 1 HR/MO, 1 HR/MO TRADING. 11) TAMA COUNTY ECONOMIC DEVELOPMENT, 211 W State St, Toledo IA 52342, United States, 08/01/2024, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 4 HR/MO, 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Brian Allen Sokol'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®
CFP®
Start date: 2012
Experience
Current
October 25, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1003 S County Road, Toledo, IA 52342RIA
CRD#: 134139
Toledo, IA
Current
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1003 S County Road, Toledo, IA 52342BD
CRD#: 39543
Toledo, IA
Past
March 31, 2009 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
TOLEDO, IA
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(10/20/2018)
RR
Arkansas(10/20/2018)
RR
California(10/20/2018)
RR
Colorado(10/20/2018)
RR
Delaware(1/2/2020)
RR
Florida(10/22/2018)
RR
Georgia(10/20/2018)
RR
Idaho(10/20/2018)
RR
Illinois(10/20/2018)
RR
Indiana(10/20/2018)
RR
Iowa(10/20/2018)
IAR
Iowa(10/25/2018)
RR
Kansas(1/3/2022)
RR
Louisiana(10/20/2018)
RR
Michigan(10/20/2018)
RR
Minnesota(10/20/2018)
RR
Missouri(10/20/2018)
RR
Nebraska(10/20/2018)
RR
Nevada(10/20/2018)
RR
New York(1/2/2019)
RR
North Carolina(7/14/2023)
RR
Ohio(1/3/2019)
RR
Oklahoma(10/20/2018)
RR
Oregon(5/26/2021)
RR
Pennsylvania(10/20/2018)
RR
South Dakota(5/17/2019)
RR
Tennessee(5/5/2022)
RR
Texas(10/20/2018)
IAR
Texas(10/25/2018)
RR
Wisconsin(10/20/2018)
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.
