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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

KRISTOPHER KRAIG EMICK

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

FAIRFIELD, IA | North Liberty, IA

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Search this name across graphsid dfx:ria:181d8aa8-06f2-18c9-2dc3-476b5cd03fb2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 27, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 26, 2010
First registration: Oct 27, 2010
Dual registered: yes, broker-dealer
Other names: KRIS EMICK
IAPD individual key: 5790093

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Dec 2, 2014	n/a	yes	FAIRFIELD, IA\|North Liberty, IA	Current employment
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Jan 13, 2014	Nov 11, 2014	no	ANKENY, IA\|FOLSOM, CA	Previous registration
PATHWAY STRATEGIC ADVISORS	Former SEC adviser	Nov 13, 2013	Jan 9, 2014	no	ANKENY, IA	Previous registration
INVESTMENT ADVISORS CORP	Former SEC adviser	Oct 27, 2010	Oct 28, 2013	no	DES MOINES, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALLWORTH FINANCIAL, L.P.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Nov 11, 2014	Dec 2, 2014	21	Firm change	Other
PATHWAY STRATEGIC ADVISORS	ALLWORTH FINANCIAL, L.P.	Jan 9, 2014	Jan 13, 2014	4	Firm change	Other
INVESTMENT ADVISORS CORP	PATHWAY STRATEGIC ADVISORS	Oct 28, 2013	Nov 13, 2013	16	Firm change	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Dec 2, 2014 to presentfactForm ADV
→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: previous registration
Jan 13, 2014 to Nov 11, 2014factForm ADV
→ PATHWAY STRATEGIC ADVISORSRegistered adviserregistration: previous registration
Nov 13, 2013 to Jan 9, 2014factForm ADV
→ INVESTMENT ADVISORS CORPRegistered adviserregistration: previous registration
Oct 27, 2010 to Oct 28, 2013factForm ADV

Dated events

No dated event names this entity yet.