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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:

Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2022-12-14
  • ME RA
    APPROVED
    Since 2022-12-14

Branch Locations

North Yarmouth, ME • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cantella And Co., Inc Boston MA 07/2009 12/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2022 Present
Cantella And Co., Inc Boston MA 07/2009 06/2023
  • 07/2009 → 12/2022
    Cantella And Co., Inc
    Boston, MA
  • 12/2022 → Present
    Fairfield, IA
  • 12/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 07/2009 → 06/2023
    Cantella And Co., Inc
    Boston, MA
Previous Registrations
  • 2010-01-07 → 2023-06-07
    Cantella & Co., Inc.
    North Yarmouth, ME
    Portland, ME
    Malden, MA
Other Businesses

1) GALARNEAU GROUP WEALTH MGT, 11 RIVER BASIN LANE, NORTH YARMOUTH, ME, 09/2013, OWNER, DBA, INV REL, 240 HR/MO, 225 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 11/2022, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 3) GALARNEAU GROUP, DEBORAH GALARNEAU, 11 RIVER BASIN LANE, NORTH YARMOUTH, ME, 10/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDPENDENT INSURANCE COMPANIES, INV REL, 2 HR/MO, 2 HR/MO TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-23
S63 Uniform Securities Agent State Law Examination 2009-09-08
  • S66 Uniform Combined State Law Examination
    2009-12-23
  • S63 Uniform Securities Agent State Law Examination
    2009-09-08
Designations
  • Certified Financial Planner
Other Names
  • Deborah L Wilson
  • Debbie L Galarneau
  • Deborah L Galarneau
  • Debbie L Wilson

View on SEC IAPD

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