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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
GA RA APPROVED 2021-01-20
  • GA RA
    APPROVED
    Since 2021-01-20

Branch Locations

255 Passaic Lane, Richmond Hill, GA 31324 • United States

Pooler, GA • 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 05/2020 Present
Custom Audio Video Bluffton SC 10/2018 09/2022
Best Buy Co., Inc. Savannah GA 10/2015 10/2018
Cambridge Investment Research, Inc. Fairfield IA 04/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2021 Present
  • 05/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 10/2018 → 09/2022
    Custom Audio Video
    Bluffton, SC
  • 10/2015 → 10/2018
    Best Buy Co., Inc.
    Savannah, GA
  • 04/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 01/2021 → Present
    Fairfield, IA
Other Businesses

1) 204 FRESNO CASHIERS LLC, 107 BROADBRANCH WAY, ST JOHNS, FL, FAMILY LLC, 09/2015, NIR, 10 HR/YR 0/TRADING HR 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 20 HR/WK 20 HR/TRADING, 01/2021 3) Sean Stewart, 19 Tranquil Pl, Pooler GA 31322, 12/2021, Owner, Insurance/Benefits/Human Resources, INV REL, 12 HR/MO - 6 HR/MO TRADING 4) SMARTPRO FINANCIAL, POOLER GA, 06/2024, IAR, DBA, INV REL, 120 HR/MO 100 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-18
S63 Uniform Securities Agent State Law Examination 2020-08-16
  • S65 Uniform Investment Adviser Law Examination
    2020-12-18
  • S63 Uniform Securities Agent State Law Examination
    2020-08-16

View on SEC IAPD

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