Duane Michael Froelicher

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

Authority	Category	Status	Date
KY	RA	APPROVED	2005-03-28

KY RA
APPROVED

Since 2005-03-28

Branch Locations

Florence, KY • 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

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	11/2004	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	03/2005	Present

11/2004 → Present

Cambridge Investment Research, Inc

Fairfield, IA
03/2005 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2002-03-11 → 2004-10-18

Osaic Fa, Inc.

Cincinnati, OH

Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 09/2004, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADIN 3) WALDEN ADVISORS, 36 BARNWOOD CT FLORENCE KY 41042, 02/2023, PRESIDENT, DBA, INV REL, 36 HR/MO 30 HR/MO TRADING 4) INTERDEPENDENT ADVISORS, 36 Barnwood Ct, Florence KY 41042, 07/2026, Agent, DBA Name, NIR, 160 HR/MO - 40 HR/MO TRADING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2000-04-12

S63 Uniform Securities Agent State Law Examination

2000-04-12

View on SEC IAPD