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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
OK RA APPROVED 2020-08-14
TX RA APPROVED 2020-08-14
  • OK RA
    APPROVED
    Since 2020-08-14
  • TX RA
    APPROVED
    Since 2020-08-14

Branch Locations

2100 S Utica Ave Suite 300, Tulsa, OK 74114 • 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
Cetera Advisors, Llc Denver CO 08/2016 08/2020
Cambridge Investment Research, Inc. Fairfield IA 08/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2020 Present
Previous Registrations
  • 2016-08-02 → 2020-08-14
    Cetera Advisors Llc
    Tulsa, OK
    Tulsa, OK
  • 2001-01-31 → 2016-08-03
    Securian Financial Services, Inc.
    Tulsa, OK
    Tulsa, OK
Other Businesses

1)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING, 08/14/20 2) UTICA CAPITAL, 2100 S UTICA AVE, STE 300, TULSA,OK, DBA, 08/02/16, FINANCIAL PROFESSIONAL UTILIZING DBA NAME, INV REL, 40/WK- 30/TRADING 3) TLD CAPITAL MGMT, INC, 3743 W AUSTIN ST, BROKEN ARROW, OK, S CORP, 02/03/14, NIR, PRESIDENT, 1/WK- 0/TRADING 4) MISSION GARDENS HOME OWNERS ASSOCIATION, c/o Collins and Associates, 5630 S Memorial Dr, Tulsa OK 74145, United States, START DATE: 12/09/2021, Vice President, Board Member/Officer/Director/Committee Member/Board Trustee, INV REL, 2 HR/MO - 0 HR/MO TRADING 5) Terry Devore, 3743 W Austin St Broken Arrow, OK 74011, United States, 08/13/2025, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 1 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-20
S63 Uniform Securities Agent State Law Examination 1996-12-16
  • S65 Uniform Investment Adviser Law Examination
    1998-11-20
  • S63 Uniform Securities Agent State Law Examination
    1996-12-16

View on SEC IAPD

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