KO
Kaitlin Ochab
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Chicago, IL
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CRD#: 6262807
KO
Professional summary
Kaitlin Ochab, who also goes by Kaitlin Jean Ochab, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Chicago, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Rochester, New York.
Kaitlin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Kaitlin has worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kaitlin Jean Ochab
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) KAITLIN OCHAB, CHICAGO, IL, 03/2023, SUBLET PARKING SPOT, NIR, 1 HR/MO 0 HR/MO TRADING 2) TAG, CHICAGO IL, 08/2023, W2 EMPLOYEE, DBA, INV REL, 180 HR/MO 130 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN FAIRFIELD IA, 02/2023, ADMIN FOR ADVISORY REP OF AN RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 4) CONTRACTING WORK, CHICAGO IL, 10/2024, 1099 CONTRACTOR, VARIOUS, NIR, 1 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Kaitlin Ochab'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
February 16, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 140 Allens Creek Rd. Ste. 110, Rochester, NY 14618RIA
CRD#: 134139
Chicago, IL
Current
February 16, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 140 Allens Creek Rd. Ste. 110, Rochester, NY 14618BD
CRD#: 39543
Rochester, NY
Past
August 29, 2019 - August 26, 2021
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CHICAGO, IL
Past
August 29, 2019 - August 26, 2021
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CHICAGO, IL
Past
April 10, 2015 - August 6, 2019
MORGAN STANLEY
RIA
CRD#: 149777
CHICAGO, IL
Past
October 27, 2014 - August 6, 2019
MORGAN STANLEY
BD
CRD#: 149777
CHICAGO, IL
Past
March 31, 2014 - October 29, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
OAKBROOK TERRACE, IL
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
IAR
Illinois(2/16/2023)
RR
Illinois(2/17/2023)
IAR
New York(2/16/2023)
RR
New York(2/19/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
