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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
CA RA APPROVED 2024-08-02
TX RA APPROVED 2024-08-01
  • CA RA
    APPROVED
    Since 2024-08-02
  • TX RA
    APPROVED
    Since 2024-08-01

Branch Locations

4633 Old Ironsides Drive, Ste. 430, Santa Clara, CA 95054 • 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
Mass Mutual Life Insurance San Jose CA 07/2007 08/2024
Scf Securities, Inc. Fresno CA 08/2014 08/2024
Scf Investment Advisors, Inc. Fresno CA 08/2014 08/2024
Cambridge Investment Research, Inc. Fairfield IA 08/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2024 Present
  • 07/2007 → 08/2024
    Mass Mutual Life Insurance
    San Jose, CA
  • 08/2014 → 08/2024
    Scf Securities, Inc.
    Fresno, CA
  • 08/2014 → 08/2024
    Scf Investment Advisors, Inc.
    Fresno, CA
  • 08/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2024 → Present
    Fairfield, IA
Previous Registrations
  • 2014-08-13 → 2024-08-01
    Scf Investment Advisors, Inc.
    Fresno, CA
    Sunnyvale, CA
    San Diego, CA
    Santa Clara, CA
  • 2007-08-08 → 2014-08-21
    San Jose, CA
  • 2002-03-21 → 2007-08-01
    Securian Financial Services, Inc.
    San Mateo, CA
    Los Gatos, CA
    Los Gatos, CA
Other Businesses

1) UPTREX WEALTH ADVISORS LLC, 4633 OLD IRONSIDES DR STE 436 SANTA CLARA CA, 08/2024, IAR, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 08/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-02-13
  • S66 Uniform Combined State Law Examination
    2002-02-13
Other Names
  • Jack James Love Dominge

View on SEC IAPD

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