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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
OK RA APPROVED 2024-04-17
  • OK RA
    APPROVED
    Since 2024-04-17

Branch Locations

Suite 205, OK • United States

Tulsa, OK • 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
Hornor Townsend & Kent Inc Horsham PA 03/2009 12/2016
Penn Mutual Life Ins Co Horsham PA 03/2009 12/2016
Dominion Investor Services, Inc. Horseshoe Bay TX 01/2017 06/2023
Dominion Portfolio Management, Inc. Horseshoe Bay TX 03/2017 07/2019
Calton & Associates, Inc. Marble Falls TX 06/2023 04/2024
Cambridge Investment Research, Inc. Fairfield IA 04/2024 Present
  • 03/2009 → 12/2016
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 03/2009 → 12/2016
    Penn Mutual Life Ins Co
    Horsham, PA
  • 01/2017 → 06/2023
    Dominion Investor Services, Inc.
    Horseshoe Bay, TX
  • 03/2017 → 07/2019
    Horseshoe Bay, TX
  • 06/2023 → 04/2024
    Calton & Associates, Inc.
    Marble Falls, TX
  • 04/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
Other Businesses

1) DENICE R LAND, 6660 S SHERIDAN RD STE 205 TULSA OK, 04/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 25 HR/MO 20 HR/MO TRADING 2) PROPERTY RENTAL, 9554 W 81ST ST S TULSA OK, 10/2000, PROPERTY OWNERSHIP/MANAGEMENT, NIR, 2 HR/MO 2 HR/MO TRADING 3) CREEK COUNTY OHCE, 17806 W HWY 66 KELLYVILLE OK, 01/2024, PRESIDENT, BOARD/COMMITTEE MEMBER, NIR, 4 HR/MO 4 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 04/2024, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 5) NORTHSTAR WEALTH MANAGEMENT, 6660 S SHERIDAN RD SUITE 205 TULSA OK, 04/2024, IAR, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 6) SAPULPA CLASS OF 1982 REUNION CIOMMITTEE, 2625 E 74th Pl, Tulsa OK 74136, United States, 10/30/2024, Committee Member, Class reunion, NIR, 6/MO - 0/Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-10
S63 Uniform Securities Agent State Law Examination 2004-11-08
  • S65 Uniform Investment Adviser Law Examination
    2008-09-10
  • S63 Uniform Securities Agent State Law Examination
    2004-11-08
Other Names
  • Denice Land
  • Denny Renny Land

View on SEC IAPD

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