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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
TX RA APPROVED 2023-08-23
FL RA APPROVED 2019-10-09
  • TX RA
    APPROVED
    Since 2023-08-23
  • FL RA
    APPROVED
    Since 2019-10-09

Branch Locations

Ponte Vedra, FL • United States

14797 Philips Hwy. Ste. 206-I, Jacksonville, FL 32256 • 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
Fsc Securities Corporation Jacksonville FL 06/2009 10/2019
Cambridge Investment Research, Inc. Fairfield IA 10/2019 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2019 Present
Previous Registrations
  • 2009-07-14 → 2019-10-11
    Fsc Securities Corporation
    Jacksonville, FL
    Milton, GA
    Neptune Beach, FL
  • 2004-07-01 → 2009-06-23
    Jacksonville, FL
    Jacksonville, FL
    Jacksonville, FL
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 2) DONDERO RETIREMENT PLANNING LLC, PONTE VERDRA FL, 01/2018. LLC TO HOLD RENTAL PROPERTY. NIR, 1/MO 0/TRADING. 3) JOHN DONDERO, 240 CANAL BLVD STE 6 PONTE VEDRA BEACH FL, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 4/WK 0/TRADING 4) NETTWORTH FINANCIAL GROUP, 240 CANAL BLVD SUITE 6 PONTE VEDRA BEACH FL 32082, 06/2009, AGENT, SECURITIES DBA, INV REL, 120 HR/MO 120 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-25
S63 Uniform Securities Agent State Law Examination 2001-11-21
  • S66 Uniform Combined State Law Examination
    2004-06-25
  • S63 Uniform Securities Agent State Law Examination
    2001-11-21
Designations
  • Certified Financial Planner

View on SEC IAPD

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