EA
Enrique J. Alvarez
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Suffield, CT 06078
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CRD#: 820409
EA
Professional summary
Enrique Jose Alvarez, CFP®, who also goes by Enrique J Alvarez, Rick Alvarez, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Suffield, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Suffield, Connecticut.
Enrique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Enrique has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Enrique J Alvarez | Rick Alvarez
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)PROFESSIONAL INSURANCE BROKERAGE INC, 178 MOUNTAIN RD, SUFFIELD, CT, 1/1983 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/WK - .5/TRADING. 2)INDEPENDENT INSURANCE AGENT, 178 MOUNTAIN RD, SUFFIELD, CT, 9/1973 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/WK - 3/TRADING. 3) HARTFORD GUN CLUB, ROUTE 187, EAST GRANBY, CT 06026. MEMBER SINCE 09/06/84. NOT INVESTMENT RELATED. WORKS 6 HOURS MONTHLY NONE OF WHICH ARE DURING TRADING HOURS. DUTIES: SHOOTGUN RANGE. 4) MASONS, BRIDGE ST., SUFFIELD, CT 06078. MASON SINCE 06/06/09. NOT INVESTMENT RELATED. WORKS 1 HOUR WEEKLY NONE OF WHICH ARE DURING TRADING HOURS. DUTIES: N/A 5) RETIREMENT DOCTOR, LLC.,178 MOUNTAIN RD.,SUFFIELD, CT 06078. BEGAN 9/2012 AS MANAGING MEMBER PROVIDING EDUCATIONAL SEMINARS. DEVOTES 10 HR/MO- NONE DURING TRADING. 6) Enrique J. Alvarez, Owner, 463 S. Main Street, Suffield, CT, 06/01/2020, NIR, 4 hr/mo-0/trading hr. Buying and selling shotguns and hunting rifles. 7) Enrique's Ebay Business, Owner, 463 S. Main Street, Suffield, CT, NIR, 08/01/2001- 1 hr/mo- 0/trading hr. Occasionally buy and sell items.
CRS (Client Relationship Summary) - RIA
Click below to view Enrique Jose Alvarez'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: 2001
Experience
Current
August 18, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 463 South Main St., Suffield, CT 06078RIA
CRD#: 134139
Suffield, CT
Current
March 25, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SUFFIELD, CT
Past
February 21, 2008 - November 14, 2025
RETIREMENT DOCTOR, LLC
RIA
CRD#: 144980
SUFFIELD, CT
Past
October 27, 2000 - March 5, 2008
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
SUFFIELD, CT
Past
February 2, 1999 - March 28, 2011
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
SUFFIELD, CT
Past
January 16, 1982 - February 3, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 23, 1976 - August 11, 1986
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2797
Past
December 13, 1976 - January 14, 1982
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
Past
April 1, 1976 - December 8, 1976
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
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
California(3/25/2011)
RR
Connecticut(3/25/2011)
IAR
Connecticut(8/18/2025)
RR
Florida(3/25/2011)
RR
Georgia(6/16/2020)
RR
Indiana(5/12/2025)
RR
Maine(9/1/2016)
RR
Massachusetts(3/25/2011)
RR
New Hampshire(3/25/2011)
RR
New York(11/3/2022)
RR
North Carolina(10/10/2016)
RR
Puerto Rico(3/25/2011)
IAR
Puerto Rico(12/1/2025)
RR
South Carolina(1/22/2019)
RR
Texas(4/20/2016)
IAR
Texas(8/19/2025)
RR
Utah(3/25/2011)
RR
Vermont(9/23/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/25/1976
Registered Representative ExaminationPrincipal/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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Suffield, CT 06078TRUST BUT VERIFY
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