HH
Hans T. Heath
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Dallas, TX
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CRD#: 6627895
HH
Professional summary
Hans Tristan Heath is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Dallas, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Austin, Texas.
Hans is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Hans has worked at 4 firms and has passed the Series 65, 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) HANS HEATH, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 11/2015, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 60 HR/MO, 20 HR/MO TRADING. 2) BUSINESS CONSULTING, 5000 EDENBOURGH LN, AUSTIN, TX, 01/2018, CONSULTANT/OWNER, INV REL, 4 HR/MO, 0 HR/MO TRADING. 3) HANS HEATH, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 03/2014, MUSIC INSTRUCTOR/PERFORMER, NIR, 8 HR/MO, 0 HR/MO TRADING. 4) COLDSWEEP, 3612 QUAIL POINT RD, MOUNTAIN GREEN, UT, INDEPENDENT CONTRACTOR, NIR, 0 HR/MO, 0 HR/MO TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 40 HR/MO TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6) HANS HEATH, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 09/2019, AGENT, BENEFITS & FINANCIAL EDUCATION SERVICES, NIR, 1 HR/MO, 0 HR/MO TRADING. 7) H&T CAPITAL ADVISOR GROUP, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 12/2017, OWNER, DBA, NIR, 5 HR/MO, 0 HR/MO TRADING. 8) PRAXIS CONSULTING AND FINANCIAL SERVICES DBA LGBT FINANCIAL, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 12/2022, OWNER, Referrals, NIR, 10 HR/MO, 0 HR/MO TRADING. 9) GENERIC.FINANCIAL, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 02/2024, OWNER, DBA, INV REL, 10 HR/MO, 0 HR/MO TRADING. 10) ALEX ALBEDO, 1212 Singleton Blvd, #2091, Dallas TX 75212, United States, 02/2024, ACTOR/AUTHOUR/ARTIST, Coaching/Consulting, NIR, 2 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Hans Tristan Heath'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 1, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Dallas, TX
Current
February 1, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Austin, TX
Past
November 15, 2016 - December 22, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SALT LAKE CITY, UT
Past
November 1, 2016 - December 22, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SALT LAKE CITY, UT
Past
April 28, 2016 - October 17, 2016
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SANDY, UT
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(2/1/2018)
RR
California(2/1/2018)
RR
Colorado(2/1/2018)
RR
District of Columbia(1/2/2025)
RR
Florida(1/4/2021)
RR
Idaho(1/4/2021)
RR
Illinois(1/2/2025)
RR
Indiana(1/4/2021)
RR
Kansas(3/27/2020)
RR
Maryland(5/21/2020)
RR
Michigan(1/4/2021)
RR
Nevada(2/1/2018)
RR
New Mexico(1/2/2025)
RR
New York(6/12/2020)
RR
Ohio(1/4/2021)
RR
Oregon(11/6/2018)
RR
Pennsylvania(1/2/2025)
RR
Texas(1/2/2020)
IAR
Texas(1/2/2020)
RR
Utah(2/1/2018)
RR
Washington(1/2/2019)
Exams
State Security Law Exam
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
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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.
