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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
TX RA APPROVED_RES 2025-01-06
IA RA APPROVED 2020-07-27
  • TX RA
    APPROVED_RES
    Since 2025-01-06
  • IA RA
    APPROVED
    Since 2020-07-27

Branch Locations

2213 Second Avenue, Muscatine, IA 52761 • 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
Cambridge Investment Research, Inc. Fairfield IA 04/2020 Present
Cambridge Investment Research, Inc. Fairfield IA 05/2020 Present
Hni Corporation/Allsteel Inc Muscatine IA 08/1994 06/2019
Compass - Finances God's Way Sanford FL 08/2019 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2020 Present
  • 04/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 05/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/1994 → 06/2019
    Hni Corporation/Allsteel Inc
    Muscatine, IA
  • 08/2019 → Present
    Compass - Finances God's Way
    Sanford, FL
  • 07/2020 → Present
    Fairfield, IA
Other Businesses

1) COMPASS - FINANCES GOD'S WAY, 31 Skyline Drive, Lake Mary FL 32746, 01/01/2024, I will be transitioning from Director, on Compass - finances God's way Board of Directors, to Chairman of the Board and Director., Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO, 2 HR/MO TRADING. 2) CENTRAL BANK INC, 101 N STATE ST GENESEO IL, BOARD MEMBER OF A NON-PUBLIC ENTITY, DIRECTOR, 01/2017, NIR, 8/MO 4/TRADING 3) INSIDE SOURCE, 985 INDUSTRIAL RD STE 101 SAN CARLOS CA, OUTSIDE BUSINESS CONSULTANT, NIR, 400/YR 200/TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 20/WK 20/TRADING, 07/2020 5) SIEBEN FINANCIAL LLC, 2213 2nd Ave, Muscatine IA 52761, 01/2025, PRESIDENT, TRADE NAME/DBA NAME, NIR, 200 HO/MO - 130 HR/MO TRADING. 6) SIEBEN FINANCIAL, 2213 2nd Ave, Muscatine IA 52761, 01/2025, SOLE PROPRIETOR, OWNER/PARTNER, NIR, 5 HO/MO - 5 HR/MO TRADING. 7) ASBURY UNIVERSITY, One Macklem Drive, Wilmore KY 40390, United States, Advisory Council member, Education, NIR, 4 HO/MO - 4 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-07
  • S66 Uniform Combined State Law Examination
    2020-07-07

View on SEC IAPD

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