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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
NY RA APPROVED 2021-04-09
  • NY RA
    APPROVED
    Since 2021-04-09

Branch Locations

4313 S Buffalo St.,, Orchard Park, NY 14127 • 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 10/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 10/2012 Present
Other Businesses

1) BROWN & STROMECKI AGENCY INC, 4313 SOUTH BUFFALO STREET, ORCHARD PARK, NY, 9/1998 AS PRESIDENT/ INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 40/WK - 8/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. 10/15/12. 3) BUFFALO NIAGARA BUSINESS ETHICS ASSOCIATION, INC. 726 EXCHANGE STREET, SUITE 822, BUFFALO, NY 14210. BEGAN 9/01/2010 AS DIRECTOR OF CORPORATION TO PROMOTE BUSINESS ETHICS WITHIN THE WESTERN NY REGION. DEVOTES 2 HR/MO-2 HR/TRADING.NON-PROFIT. 4) VOLUNTEER FIREFIGHTER - HILLCREST FIRE COMPANY & ORCHARD PARK FIRE DISTRICT, 7125 ELLICOTT RD, 30 SCHOOL STREET, ORCHARD PARK, NY, SINCE 5/2015. NOT INVESTMENT RELATED - NON-PROFIT - DEVOTES 5 HR/WK - NONE DURING TRADING. 5) BROWN & STROMECKI AGENCY 401K PLAN, 4313 SOUTH BUFFALO ST, ORCHARD PARK, NY 14127. BEGAN 9/09/2003 AS TRUSTEE OF THE BROWN & STROMECKI AGENCY, INC. 401K PLAN. DEVOTES 10 HR/YR- 10 HR/TRADING. 6) BROWN & STROMECKI AGENCY, INC, NOTARY PUBLIC, 4313 SOUTH BUFFALO ST, ORCHARD PARK, NY, 9/10/13. NIR - .5/MO - .5/TRADING. 7) HUNT OF A LIFETIME FOUNDATION, 6297 BUFFALO RD, HARBORCREEK, PA, 03/2019. NEW YORK STATE AMBASSADOR, PUBLIC RELATIONS, RECRUITMENT, FUNDRAISING. NIR-200/YR-0/TRADING. 8) STROMECKISTEVENS, 4313 South Buffalo Street, Orchard Park NY 14127, 07/2026, Founder, DBA Name, NIR, 120 HR/MO, 120 HR/MO TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-12-05
  • S63 Uniform Securities Agent State Law Examination
    1997-12-05
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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