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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
MI RA APPROVED 2025-01-01
  • MI RA
    APPROVED
    Since 2025-01-01

Branch Locations

Tecumseh, MI • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc Fairfield IA 07/2014 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2014 Present
Other Businesses

1) STACY S DOWNING, PO BOX 216, 213 N MAUMEE ST, TECUMSEH, MI, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,07/16/14, 2/WK- 2 TRADING. 2) TECUMSEH PARKS & RECREATION DEPT; 810 N EVANS ST,TECUMSEH, MI 49286; BEGAN 7/16/14 AS ADVISORY BOARD MEMBER. NOT INVESTMENT RELATED. DEVOTES 1 HR/MO; NONE DURING TRADING. NON-PROFIT. 3) DOWNING FINANCIAL SERVICES; PO BOX 216, 213 N MAUMEE ST,TECUMSEH, MI 49286. BEGAN 07/16/14 AS DBA/OWNER. NOT INVESTMENT RELATED. DEVOTES 1 HR/WK; NONE DURING TRADING. 4)ROTARY CLUB, CLINTON, MI, SINCE 8/2015 AS CLUB SECRETARY. NIR - NON-PROFIT - DEVOTES 1 HR/WK - NONE DURING TRADING. 5.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 120/MO - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-26
S63 Uniform Securities Agent State Law Examination 2001-06-01
  • S65 Uniform Investment Adviser Law Examination
    2018-10-26
  • S63 Uniform Securities Agent State Law Examination
    2001-06-01
Other Names
  • Stacy Ann Sailus

View on SEC IAPD

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