Dennis Dane Sump

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
TX	RA	APPROVED	2018-11-19

TX RA
APPROVED

Since 2018-11-19

Branch Locations

Spring, TX • 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
Edward Jones	St Louis	MO	10/2015	10/2018
Cambridge Investment Research Advisors Inc.	Fairfield	IA	11/2018	Present
Cambridge Investment Research Inc.	Fairfield	IA	11/2018	Present

10/2015 → 10/2018

Edward Jones

St Louis, MO
11/2018 → Present

Cambridge Investment Research Advisors Inc.

Fairfield, IA
11/2018 → Present

Cambridge Investment Research Inc.

Fairfield, IA

Previous Registrations

2016-02-19 → 2018-10-07

Edward Jones

Spring, TX

St Louis, MO

Houston, TX

Spring, TX

Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 2. INDEPENDENT INSURANCE AGENT, HOUSTON, TX, 04/2019. FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-24/MO-0/TRADING. 3. LKS WEALTH MANAGEMENT,LLC, 1111 WEALDEN FOREST DRIVE, SPRING, TX, 01/01/20, OWNER, INV REL, 80/MO- 4/TRADING

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-12-28

S66 Uniform Combined State Law Examination

2015-12-28

View on SEC IAPD