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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_RES 2016-01-08
GA RA APPROVED 2005-03-28
  • TX RA
    APPROVED_RES
    Since 2016-01-08
  • GA RA
    APPROVED
    Since 2005-03-28

Branch Locations

207 Marina Drive, Saint Simons Island, GA 31522 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 04/2003 Present
The Pittman Group Atlanta GA 03/2003 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2005 Present
Previous Registrations
  • 2003-03-08 → 2003-04-22
    Peachcap Securities, Inc.
    Atlanta, GA
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) RENTAL PROPERTY / 1108 George Lotson Avenue, Saint Simons Island GA 31522 / 03/17/2022 / NIR / OWNER - RENTAL INCOME / 5 HR/MO - 5 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 4) 2 PALMS COTTAGE LLC, 405 Everett Street, Saint Simons Island GA 31522, United States, 03/2026, Owner, Real Estate, NIR, 5 HR/MO - 5 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-08-05
S63 Uniform Securities Agent State Law Examination 2001-08-18
  • S65 Uniform Investment Adviser Law Examination
    2002-08-05
  • S63 Uniform Securities Agent State Law Examination
    2001-08-18
Other Names
  • Misty Lynne Fowler

View on SEC IAPD

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