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Richard Kevin Guernsey

Cambridge Investment Research Advisors, Inc.

Wexford, PA

CRD 4625491

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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
PA RA APPROVED 2024-07-01
  • PA RA
    APPROVED
    Since 2024-07-01

Branch Locations

Wexford, PA • 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
Allegheny Investments Pittsburgh PA 10/2009 06/2024
Cambridge Investment Research, Inc. Fairfield IA 07/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2024 Present
Previous Registrations
  • 2009-10-23 → 2024-07-01
    Allegheny Investments
    Pittsburgh, PA
    Wexford, PA
    Pittsburgh, PA
  • 2008-06-23 → 2009-10-26
    Hefren-Tillotson, Inc.
    Pittsburgh, PA
    Pittsburgh, PA
    Wexford, PA
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/01/2024

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-20
S63 Uniform Securities Agent State Law Examination 2003-05-15
  • S66 Uniform Combined State Law Examination
    2008-06-20
  • S63 Uniform Securities Agent State Law Examination
    2003-05-15

View on SEC IAPD

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