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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 2019-10-07
  • PA RA
    APPROVED
    Since 2019-10-07

Branch Locations

Canonsburg, PA • United States

1720 Washington Rd. Ste. 201, Washington, PA 15301 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corp Atlanta GA 05/2016 10/2019
Cambridge Investment Research, Inc. Fairfield IA 10/2019 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2019 Present
Previous Registrations
  • 2016-05-02 → 2019-10-11
    Fsc Securities Corporation
    Sewickley, PA
    Canonsburg, PA
    Milton, GA
    Washington, PA
  • 2007-08-01 → 2016-05-04
    Cetera Wealth Services, Llc
    Sewickley, PA
    Bridgeville, PA
    El Segundo, CA
    Pittsburgh, PA
    Sewickley, PA
    Washington, PA
    Canonsburg, PA
Other Businesses

1.INDEPENDENT INSURANCE AGENT, 1720 WASHINGTON RD, WASHINGTON, PA, 5/2016 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 50/MO - 15/TRADING. 2.ACTIVE CAPITAL REAL ESTATE INVESTMENTS, 1720 WASHINGTON RD, WASHINGTON, PA, 1/2005 AS PARTNER - LLC ACQUIRES AND MAINTAINS RENTAL PROPERTIES. NIR - 2/WK - 0/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 4.NETTWORTH FINANCIAL GROUP, 1720 Washington Rd., Ste. 201, Washington PA 15301, 10/2019, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-19
  • S66 Uniform Combined State Law Examination
    2007-07-19

View on SEC IAPD

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