Kasey S. Closs
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wilsonville, OR 97070
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CRD#: 6698433
Professional summary
Kasey Somers Closs, CFP®, who also goes by Kasey Closs, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wilsonville, Oregon and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wilsonville, Oregon.
Kasey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Kasey has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kasey Closs
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. CIRA, 1776 Pleasant Plain Rd, Fairfield IA 52556, 07/2023, IAR AFFILIATION, INV REL, 160 HR/MO - 120 HR TRADING 2. RICE FINANCIAL GROUP, 9450 SW Commerce Circle, STE 400, Wilsonville OR 97070, 12/2019, INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 40 HR/MO - 40 HR TRADING 3. WESTVIEW HIGH SCHOOL, 4200 NW 185th Ave, Portland OR 97229, United States, 09/2025, W2 Employee, Sport/Fitness/Gaming, NIR, HR/MO: 20, HR/MO TRADING: 0
CRS (Client Relationship Summary) - RIA
Click below to view Kasey Somers Closs'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: 2022
Experience
Current
July 24, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9450 Sw Commerce Circle Ste. 400, Wilsonville, OR 97070RIA
CRD#: 134139
Wilsonville, OR
Current
July 24, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9450 Sw Commerce Circle Ste. 400, Wilsonville, OR 97070BD
CRD#: 39543
Wilsonville, OR
Past
May 16, 2019 - July 27, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Wilsonville, OR
Past
July 18, 2018 - July 27, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Wilsonville, OR
Past
October 5, 2017 - June 29, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
LAKE OSWEGO, OR
Past
July 21, 2017 - June 29, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
LAKE OSWEGO, OR
Past
November 1, 2016 - March 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PORTLAND, OR
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(7/24/2023)
RR
California(7/24/2023)
RR
Colorado(7/24/2023)
RR
Florida(7/24/2023)
RR
Hawaii(1/2/2024)
RR
Idaho(7/24/2023)
RR
Iowa(1/2/2024)
RR
Missouri(1/2/2024)
RR
Montana(7/25/2023)
RR
Nebraska(7/24/2023)
RR
Nevada(1/7/2025)
RR
Oregon(7/24/2023)
IAR
Oregon(7/25/2023)
RR
South Carolina(7/24/2023)
RR
Tennessee(7/24/2023)
RR
Texas(7/24/2023)
IAR
Texas(7/24/2023)
RR
Utah(7/24/2023)
RR
Virginia(7/24/2023)
RR
Washington(7/24/2023)
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
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.
