Martin Brent Ugalde

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → 12/2016
  Merrill Lynch
  Modesto, CA
• 07/2010 → 12/2016
  Bank Of America, Na
  Modesto, CA
• 12/2016 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 12/2016 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2010-07-01 → 2016-12-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Modesto, CA
  Modesto, CA
  Modesto, CA
• 2009-02-26 → 2010-01-19
  Bancwest Investment Services, Inc.
  Stockton, CA
  Escalon, CA
  Patterson, CA
  Patterson, CA
  Turlock, CA
  Oakdale, CA
  Ceres, CA
  Modesto, CA
  Modesto, CA
  Ripon, CA
  Waterford, CA
  Modesto, CA
  Newman, CA
  Modesto, CA
  Tracy, CA
  Stockton, CA
  Stockton, CA
  Stockton, CA
  Stockton, CA

Other Businesses

1.GATEWAY INSURANCE GROUP, 2010 CROW CANYON PL, STE 100, SAN RAMON, CA, 10/2017 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 0/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3.ONE RESOURCE GROUP, 13548 ZUBRICK RD, ROANOKE, IN, 5/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 1/TRADING. 4.GATEWAY FINANCIAL ADVISORS, LLC, 3400 YERINGTON CT, MODESTO CA 95355, 12/2016, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING. 5.BUSINESS UNDERWRITERS ASSOCIATES (BUA), 3400 YERINGTON CT, MODESTO CA 95355, 05/2025, Agent, Insurance/Benefits/Human Resources, INV REL, 10 HR/MO, 5 HR/MO TRADING. 6.MARTIN BRENT UGALDE, 3400 YERINGTON CT, MODESTO CA 95355, United States, 06/06/2025, Buy/sell collectable cards, Hobby, NIR, 4 HR/MO, 0 HR/MO TRADING. 7.MARTIN BRENT UGALDE, 3400 YERINGTON CT, MODESTO CA 95355, United States, 06/06/2025, Owner, Real Estate, NIR, 4 HR/MO, 0 HR/MO TRADING. 8.MARTIN BRENT UGALDE, Modesto CA 95355, START DATE 12/2025, Agent, Insurance/Benefits/Human Resources, IR, 24 HR/MO, 18 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2009-02-24
• S63 Uniform Securities Agent State Law Examination
  2005-10-19

Other Names

• Martin Brent Ugalde
• Brent Ugalde