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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
MA RA APPROVED 2024-03-13
  • MA RA
    APPROVED
    Since 2024-03-13

Branch Locations

Wilmington, MA • United States

389 Main St., Ste. 101, Malden, MA 02148 • United States

389 Main St., Ste. 101, Malden, MA 02148 • 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
Cantella & Co., Inc Boston MA 06/2009 10/2016
Cantella & Co., Inc. Malden MA 01/2012 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2022 Present
Cantella & Co., Inc. Malden MA 09/2000 12/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2024 Present
  • 06/2009 → 10/2016
    Cantella & Co., Inc
    Boston, MA
  • 01/2012 → Present
    Cantella & Co., Inc.
    Malden, MA
  • 12/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 09/2000 → 12/2022
    Cantella & Co., Inc.
    Malden, MA
  • 03/2024 → Present
    Fairfield, IA
Other Businesses

1) OWNER OF A RENTAL PROPERTY. RECEIVE RENTAL INCOME ON A MONTHLY BASIS. NO HOURS ARE DEVOTED TO THIS, NIR, 5/1/2011. 2) OWNER, DEVLIN & CO. LLC. 01/2012. HOLDING COMPANY FOR PERSONAL INVESTMENTS. COMPENSATED ON A HOURLY OR FLAT FEE BASIS AND BASED ON RETURNS (IF ANY) EARNED ON THE INVESTMENTS. INV REL, 20/MONTH, DURING TRADING HOURS. 3) CTLA HOLDINGS, SECRETARY, PRESIDENT, DIRECTOR, 1/2012 HOLDING COMPANY. INV REL, 10/MONTH, DURING TRADING HOURS. 4) OWNER, MANAGER 155 PLEASANT ST. LLC. 08/2012 HOLDING COMPANY FOR RENTAL PROPERTY. RECEIVE RENTAL INCOME ON A MONTHLY BASIS. NIR, 1HR/MONTH, DURING TRADING HOURS. 5) OWNER, MEMBER 27 AUTOMOTIVE LLC. 08/2012. HOLDING COMPANY FOR AN AUTOMOTIVE REPAIR BUSINESS. NIR, 1HR/MO DURING TRADING HOURS. 6) CTLA HOLDINGS, INC., CANTELLA MANAGEMENT CORP, CANTELLA & CO. INC., 389 Main St, Malden MA 02148, United States, 12/09/2022, Secretary, Real Estate, INV REL, 160 HR/MO - 160 HR/MO TRADING 7) FIRST LONDON INC- DIRECTOR/INDIRECT SHAREHOLDER. MANAGE INVESTMENTS. 2 HOURS A MONTH ARE DEVOTED TO THIS, ALL DURING TRADING HOURS. INV REL, 8/1/21 8) Fort Cedarville LLC - Manager. Rental Property, 2 HR/MO 2 HR/MO TRADING, NIR, 5/31/2019 9) CIRA, 389 MAIN ST MALDEN MA, 12/2022, CIRA AFFILIATION, INV REL, 160 HR/MO 160 HR TRADING 10) CANTELLA WEALTH PLANNING LLC, 389 Main St, Malden MA 02148, United States, 09/01/2025, Owner, DBA Name, INV REL, 10 HR/MO - 0 HR/MO TRADING 11) CANTELLA, 389 Main St, Malden MA 02148, United States, 01/01/2025, W2 Employee, DBA Name, INV REL, 180 HR/MO - 130 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-29
  • S66 Uniform Combined State Law Examination
    2024-02-29

View on SEC IAPD

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