Troy William Ochoa

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
VA	RA	APPROVED	2023-05-22
RI	RA	APPROVED	2023-05-08
MA	RA	APPROVED	2022-01-18
TX	RA	APPROVED	2022-01-13
CT	RA	APPROVED	2021-09-08

VA RA
APPROVED

Since 2023-05-22
RI RA
APPROVED

Since 2023-05-08
MA RA
APPROVED

Since 2022-01-18
TX RA
APPROVED

Since 2022-01-13
CT RA
APPROVED

Since 2021-09-08

Branch Locations

28 Pelham St., Unit 200, Newport, RI 02840 • United States

74 Batterson Park Rd., Ste. 303, Farmington, CT 06032 • United States

67 Millbrook St. Ste. 505, Worcester, MA 01606 • United States

200 North Main St., West Bldg. Ste. 1203, East Longmeadow, MA 01028 • United States

2 Granite Ave., Milton, MA 02186 • United States

1700 N Moore St. Ste. 1005, Arlington, VA 22209 • 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
Cambridge Investment Research, Inc.	Fairfield	IA	02/2021	Present
Ochoa Inc.	East Longmeadow	MA	05/2010	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	09/2021	Present

02/2021 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
05/2010 → Present

Ochoa Inc.

East Longmeadow, MA
09/2021 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Other Businesses

1) OCHOA, INC, 653 N MAIN ST, EAST LONGMEADOW, MA, 05/2014, VICE PRESIDENT/OWNER, SALON/SPA, NIR, 10 HR/WK- 0/TRADING HR. 2) NEWPORT PRIVATE WEALTH, LLC, 28 Pelham St, Unit 201, Newport RI 02840, United States, 07/05/2023, Owner, using as a trade name dba, INV REL, 150 HR/MO, 100 Trading 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 4) OL-ADVISORS, 74 BATTERSON PARK ROAD, SUITE 303, FARMINGTON CT 06032, 04/2024, 1099 CONTRACTOR, INV REL, 20 HR/MO - 0 HR/MO TRADING. 5) SEELEY HOWARD PRIVATE WEALTH, 200 N MAIN ST, SUITE 1203, EAST LONGMEADOW MA 01028, 04/2024, 1099 CONTRACTOR, INV REL, 20 HR/MO - 0 HR/MO TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-09-02

S66 Uniform Combined State Law Examination

2021-09-02

View on SEC IAPD