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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
IA RA APPROVED 2021-09-07
  • IA RA
    APPROVED
    Since 2021-09-07

Branch Locations

4140 Grand Ave., Des Moines, IA 50312 • United States

Clive, IA • 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
Voya Financial Advisors Des Moines IA 09/2014 06/2021
Voya Financial Partners Des Moines IA 09/2014 06/2021
Cambridge Investment Research, Inc. Fairfield IA 09/2021 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2021 Present
Principal Financial Group Des Moines IA 07/2021 09/2021
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Des Moines, IA
  • 09/2014 → 06/2021
    Voya Financial Partners
    Des Moines, IA
  • 09/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 09/2021 → Present
    Fairfield, IA
  • 07/2021 → 09/2021
    Principal Financial Group
    Des Moines, IA
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. 09/07/2021 2) FINANCIAL INTEGRATORS, 4140 Grand Ave, Des Moines IA 50312, 01/2025, W2 EMPLOYEE, DBA NAME, INV REL, 180 HR/MO - 140 HR/MO TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-10
  • S66 Uniform Combined State Law Examination
    2003-09-10

View on SEC IAPD

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