JT
Javier Tafoya
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Denver, CO 80202
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CRD#: 6172199
JT
Professional summary
Javier Tafoya is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Denver, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Denver, Colorado.
Javier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Javier has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 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) RENTAL PROPERTY, THORNTON CO, 08/2022, OWNER/MANAGER, RENTAL PROPERTY, NIR, 1 HR/MO 0 HR TRADING 2) MILE HIGH 360, 1265 MARIPOSA STREET DENVER CO, 08/2022, BOARD MEMBER, NIR, 4 HR/MO 0 HR TRADING 3) THE DOREEN KATZ MEMORIAL CANCER FOUNDATION, 16748 EAST SMOKY HILL ROAD SUITE 9C PMB 203 CENTENNIAL CO, 08/2022, BOARD MEMBER, NIR, 1 HR/MO 0 HR/MO TRADING 4) ALPFA DENVER CHAPTER, 1717 W 6TH ST STE 410 AUSTIN TX 78703, 08/2022, BOARD MEMBER, NIR, 10 HR/MO 0 HR/MO TRADING 5) NATIONAL GENERAL HEALTH INSURANCE BUISNESS, 730 17TH STREET SUITE 830 DENVER CO, 08/2022, INSURANCE AGENT, INV REL, 1 HR/MO 0 HR/MO TRADING 6) JAVIER TAFOYA, 730 17TH STREET SUITE 830 DENVER CO 80202, 10/2022, INSURANCE AGENT, INV REL, 25 HR/MO 12 HR/MO TRADING 7) AXIOM WEALTH ALLIANCE LLC, 730 17TH STREET SUITE 380 DENVER CO 80229, 11/2022, OWNER, MARKETING, INV REL, 160 HR/MO 160 HR/MO TRADING 8) CIRA, Fairfield IA 52556, 09/2022, Investment Advisor Representative, manages client assets or prepares financial plans, INV-REL, 160 HO/MO - 120 HR/MO Trading. 9) JAVIER TAFOYA, 730 17TH STREET SUITE 830 DENVER CO 80202, 03/2023, CONSULTANT, COLLEGE PLANNING, NIR, 10 HR/MO 0 HR/MO TRADING 10) SEVENTEENTH STREET PARTNERS, 730 17th Street, Suite 830, Denver CO 80202, United States, 11/01/2024, Owner, Real Estate, NIR, 1/MO - 0/Trading 11) LATINO CULTURAL ARTS CENTER, 1420 Ogden Street, Denver CO 80218, United States, 08/01/2025, Treasurer, Volunteer, NIR, 2 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Javier Tafoya'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
August 23, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 730 17th Street, Suite 830, Denver, CO 80202RIA
CRD#: 134139
Denver, CO
Current
August 22, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 730 17th Street, Suite 830, Denver, CO 80202BD
CRD#: 39543
Denver, CO
Past
July 29, 2014 - June 22, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKEWOOD, CO
Past
January 2, 2014 - June 22, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LAKEWOOD, CO
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(9/24/2024)
RR
Arkansas(10/9/2024)
RR
California(8/23/2022)
RR
Colorado(9/7/2022)
IAR
Colorado(9/7/2022)
RR
Florida(8/23/2022)
RR
Georgia(5/10/2024)
RR
Hawaii(12/6/2024)
RR
Illinois(1/9/2024)
RR
Kentucky(9/17/2024)
RR
Michigan(2/7/2025)
RR
Montana(3/25/2025)
RR
Nevada(3/24/2025)
RR
New Jersey(4/9/2024)
RR
North Carolina(9/13/2024)
RR
Ohio(2/3/2025)
IAR
Texas(8/23/2022)
RR
Texas(8/30/2022)
RR
Utah(8/30/2023)
RR
Washington(9/13/2024)
RR
Wisconsin(9/13/2024)
RR
Wyoming(3/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
