NM
Norberto C. Moran
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wayzata, MN 55391
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CRD#: 5648971
NM
Professional summary
Norberto Carlos Moran, who also goes by Carlos Norberto Moran, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wayzata, Minnesota and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wayzata, Minnesota.
Norberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Norberto has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Norberto Moran
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) MORAN INSURANCE AGENCY, 5201 Eden Ave, EDINA, MN, 11/2007 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 5 HR/WK - 1/TRADING. 2) MORAN FINANCIAL CONSULTING, 5201 EDEN AVE STE 300, EDINA, MN, 12/2015 AS TAX PREPARER. NIR - 2HRS/MO - 2/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 35 HR/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4) TAX PREPARATION / 5201 Eden Ave, Ste 300, Edina MN 55436 / 01/14/2022 / NIR / TAX ASSOCIATE - PROVIDING ON-DEMAND TAX ASSISTANCE AND PREPARATION DURING TAX SEASON / 25 HR/MO - 15 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Norberto Carlos Moran'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
January 16, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 700 Twelve Oaks Center Dr. Ste. 231, Wayzata, MN 55391Office #2: 5201 Eden Avenue Suite 300, Edina, MN 55436RIA
CRD#: 134139
Wayzata, MN
Current
May 31, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 700 Twelve Oaks Center Dr. Ste. 231, Wayzata, MN 55391Office #2: 5201 Eden Ave. Ste. 300, Edina, MN 55436BD
CRD#: 39543
Wayzata, MN
Past
May 24, 2013 - May 29, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
EDINA, MN
Past
May 1, 2009 - June 3, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
GOLDEN VALLEY, MN
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(11/4/2021)
RR
Maryland(1/3/2022)
RR
Massachusetts(11/4/2021)
RR
Minnesota(5/31/2013)
IAR
Minnesota(1/16/2014)
RR
Nevada(8/27/2014)
RR
New York(11/1/2021)
RR
Ohio(1/2/2020)
RR
Rhode Island(6/20/2024)
RR
South Dakota(8/8/2025)
RR
Wisconsin(8/8/2025)
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.
