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Cambridge Investment Research Advisors, Inc. CRD 134139
$139B regulatory AUM 68,815 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2022-12-16 |
| TX | RA | APPROVED | 2022-10-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Glens Falls | NY | 05/2016 | 09/2017 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 06/2016 | 10/2022 |
| Morgan Stanley | Saratoga Springs | NY | 09/2017 | 10/2022 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 10/2022 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 10/2022 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 10/2022, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 2) MAPLE WEALTH, Manchester Center VT 05255, United States, 10/07/2022, Founder, Using a Trade Name/dba, INV REL, 160 HR/MO - 160 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-21 |
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