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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
KY RA APPROVED 2024-07-22
FL RA APPROVED 2023-12-19
TX RA APPROVED_RES 2020-11-13
IN RA APPROVED 2020-06-19
  • KY RA
    APPROVED
    Since 2024-07-22
  • FL RA
    APPROVED
    Since 2023-12-19
  • TX RA
    APPROVED_RES
    Since 2020-11-13
  • IN RA
    APPROVED
    Since 2020-06-19

Branch Locations

Prospect, KY • United States

Naples, FL • United States

Leavenworth, IN • 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
Thurston Springer Indianapolis IN 01/2014 06/2020
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2020 Present
Cambridge Investment Research, Inc. Fairfield IA 06/2020 Present
Previous Registrations
  • 2017-02-24 → 2020-06-19
    Thurston, Springer, Miller, Herd & Titak, Inc.
    Leavenworth, IN
    Indianapolis, IN
  • 2010-02-11 → 2010-12-31
    Louisville, KY
    New Albany, IN
    Louisville, KY
    Knoxville, TN
    New Albany, IN
    Jeffersonville, IN
    Corydon, IN
    Lexington, KY
    Crestwood, KY
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/19/20 2) PINNACLE FINANCIAL PARTNERS, 6700 Beach Resort Dr Apt 2, Naples FL 34114, United States, 06/19/2020, Owner, Insurance/Benefits/Human Resources, INV REL, 20HR/MO- 20/TRADING 3) HORSESHOE BEND FARM, 9970 SOUTH FREDONIA RD, LEAVENWORTH, IN, FAMILY FARM OWNER, 06/19/20, NIR, 5/MO- 0/TRADING 4) TODD S KOST, 9284 MENAGGIO CT APT 201, Naples FL 34112, United States, 11/20/2025, Owner, Marketing, NIR, 10 HR/MO - 10 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-24
S63 Uniform Securities Agent State Law Examination 1999-02-09
  • S66 Uniform Combined State Law Examination
    2016-08-24
  • S63 Uniform Securities Agent State Law Examination
    1999-02-09

View on SEC IAPD

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