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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 2024-05-02
TX RA APPROVED 2024-05-02
  • NY RA
    APPROVED
    Since 2024-05-02
  • TX RA
    APPROVED
    Since 2024-05-02

Branch Locations

3075 Southwestern Blvd. Ste. 208, 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
Fsc Securities Corporation Amherst NY 01/2010 11/2023
Mollot & Hardy Inc. Amherst NY 02/2010 04/2024
Osaic Wealth, Inc. Amherst NY 11/2023 04/2024
Cambridge Investment Research, Inc. Fairfield IA 05/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2024 Present
Previous Registrations
  • 2024-01-11 → 2024-05-07
    Amherst, NY
  • 2023-11-03 → 2024-05-03
    Amherst, NY
  • 2023-05-17 → 2023-12-31
    Amherst, NY
  • 2010-02-01 → 2023-11-03
    Fsc Securities Corporation
    Amherst, NY
  • 2004-01-27 → 2006-08-16
    Waddell & Reed
    East Amherst, NY
    Fairport, NY
    East Amherst, NY
Other Businesses

1) BRYAN CASTRO, EAST AURORA, NY, 04/2024, TEACHER, CONSULTING/COACHING, NIR, 2 HR/MO, 2 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 05/2024, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 40 HR/MO TRADING. 3) NORTH STAR WEALTH OF WESTERN NEW YORK, 3075 SOUTHWESTERN BLVD, SUITE 208, ORCHARD PARK, NY, 05/2024, OWNER, DBA, INV REL, 40 HR/MO, 40 HR/MO TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-11-11
  • S63 Uniform Securities Agent State Law Examination
    2003-11-11
Designations
  • Certified Financial Planner

View on SEC IAPD

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