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Connor Tarleton

Cambridge Investment Research Advisors, Inc.

Buford, GA

CRD 7040697

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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 2026-01-12
  • GA RA
    APPROVED
    Since 2026-01-12

Branch Locations

4860 West Moreno St., Buford, GA 30518 • 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
Northwestern Mutual Athens GA 02/2019 02/2020
Uga Athens GA 08/2015 05/2019
Sfi Advisors, Llc Duluth GA 02/2020 01/2026
Sfi Advisors, Llc Duluth GA 03/2021 01/2026
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-28
  • S65 Uniform Investment Adviser Law Examination
    2021-01-28
Designations
  • Certified Financial Planner
Other Names
  • Connor Tarleton
  • Connor Austin Tarleton

View on SEC IAPD

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