Katherine Leah Sauer

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

• 08/2016 → 12/2016
  Unemployed
  Jefferson City, MO
• 12/2016 → 04/2019
  Axa Advisors, Llc
  New York, NY
• 03/2021 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2021 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 04/2019 → 01/2021
  Elk Ave Prime
  Crested Butte, CO

Previous Registrations

• 2017-07-21 → 2019-04-22
  Equitable Advisors, Llc
  Overland Park, KS
  Jefferson City, MO
  Overland Park, KS

Other Businesses

1) ELK AVE PRIME, 226 ELK AVE, CRESTED BUTTE, CO, SERVICE INDUSTRY, 09/18/19, NIR, 30 HR/WK- 0/TRADING HR. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 03/11/21

Exams

• S66 Uniform Combined State Law Examination
  2017-01-12

Other Names

• Katherine Sauer