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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 2024-02-27
NC RA APPROVED 2021-08-13
  • TX RA
    APPROVED
    Since 2024-02-27
  • NC RA
    APPROVED
    Since 2021-08-13

Branch Locations

Durham, NC • 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
Securian Financial Services Saint Paul MN 05/2020 08/2021
Minnesota Life Insurance Company Saint Paul MN 05/2020 08/2021
Northstar Resource Group Saint Paul MN 05/2020 08/2021
Crossfit Chapel Hill Chapel Hill NC 05/2019 10/2020
Bull City Crossfit Durahm NC 08/2017 12/2019
Crossfit Charlotte Charlotte NC 07/2015 08/2017
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2021 Present
Cambridge Investment Research, Inc. Fairfield IA 08/2021 Present
  • 05/2020 → 08/2021
    Securian Financial Services
    Saint Paul, MN
  • 05/2020 → 08/2021
    Minnesota Life Insurance Company
    Saint Paul, MN
  • 05/2020 → 08/2021
    Northstar Resource Group
    Saint Paul, MN
  • 05/2019 → 10/2020
    Crossfit Chapel Hill
    Chapel Hill, NC
  • 08/2017 → 12/2019
    Bull City Crossfit
    Durahm, NC
  • 07/2015 → 08/2017
    Crossfit Charlotte
    Charlotte, NC
  • 08/2021 → Present
    Fairfield, IA
  • 08/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2020-08-14 → 2021-08-18
    Securian Financial Services, Inc.
    Durham, NC
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) INSURANCE, 1304 Seaton Rd, Durham NC 27713, 10/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO 10 HR/MO TRADING 3) SETH CHURCH, 4300 Garrett Rd., Durham NC 27707, 10/2022, Crossfit Coach, NIR, 20 HR/MO 10 HR/MO Trading 4) SETH CHURCH, 334 BLACKWELL STREET SUITE 100 DURHAM NC 27701, 09/2023, EMPLOYEE, SUBSTITUTE TEACHER, NIR, 10 HR/MO 10 HR/MO TRADING 5) SEESAW VENTURES, 3910 colorado ave, Durham NC 27707, United States, 11/09/2024, W2 Employee, DBA, INV REL, 30/MO - 20/Trading 6) SOUND FOUNDATION WEALTH ADVISORS, 3910 Colorado Ave, Durham NC 27707, United States, 11/2025, Investment Advisor Representative, DBA Name, NIR, 120 HR/MO - 120 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-03
  • S66 Uniform Combined State Law Examination
    2020-08-03

View on SEC IAPD

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