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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 2024-11-18
  • NY RA
    APPROVED
    Since 2024-11-18

Branch Locations

157 Post Ave #301, Westbury, NY 11590 • United States

255 Executive Dr. Ste. Ll100C, Plainview, NY 11803 • 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
David Lerner Associates, Inc Syosset NY 11/2015 07/2018
Cambridge Investment Research, Inc. Fairfield IA 08/2018 05/2024
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2018 05/2024
Capfinancial Partners Llc (Captrust) Raleigh NC 05/2024 08/2024
Cambridge Investment Research, Inc. Fairfield IA 11/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2024 Present
Previous Registrations
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 11/2024 2. DBA ATTITUDE FINANCIAL ADVISORS, 255 Executive Drive, LL100C, Plainview NY 11803, 05/2025, W2 Employee, DBA Name, NIR, 160 HR/MO, 140 HR/MO TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-01
S63 Uniform Securities Agent State Law Examination 2015-08-13
  • S66 Uniform Combined State Law Examination
    2021-12-01
  • S63 Uniform Securities Agent State Law Examination
    2015-08-13
Designations
  • Certified Financial Planner

View on SEC IAPD

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