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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
TX RA APPROVED_RES 2016-01-05
OH RA APPROVED 2012-01-03
  • TX RA
    APPROVED_RES
    Since 2016-01-05
  • OH RA
    APPROVED
    Since 2012-01-03

Branch Locations

4656 Executive Dr. Suite 100, Columbus, OH 43220 • United States

39 N. 3Rd St., Newark, OH 43055 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 12/2011 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2012 Present
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES. 2) FIVE STAR MORTGAGE CORPORATION, 10 MYRTLE AVENUE GALLIPOLIS OH 45631, 05/2009, ORIGINATOR, MORTGAGE LOANS, 120 HR/MO 100 HR/MO 3) MUSICIAN, OWNER, PLAY GUITAR AND SING IN CLUBS AND AT EVENTS, 01/2010, NIR, 10 HR/MO 0 HR/MO TRADING 4) CHRISTOPHER A. GILL, 11075 EDDYBURG ROAD NE NEWARK OH, 04/2022, Potential Timber operation sales from property purchased, Agriculture, NIR, 2 HR/MO 0 HR/MO TRADING 5) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 02/2012, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 6) SPURGEON, QUEEN, AND GILL FINANCIAL GROUP LLC, 39 NORTH 3RD STREET NEWARK OH, 09/2015, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 7) CHRISTOPHER A GILL FINANCIAL SERVICES, 39 NORTH 3RD STREET NEWARK OH, 12/2011, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-01-17
  • S63 Uniform Securities Agent State Law Examination
    2002-01-17

View on SEC IAPD

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