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Austin David Thompson

Cambridge Investment Research Advisors, Inc.

The Woodlands, TX

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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-06-02
  • TX RA
    APPROVED
    Since 2026-06-02

Branch Locations

25700 I-45 Ste 400, The Woodlands, TX 77386 • 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 06/2026 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2026 Present
Avinext College Station TX 06/2016 01/2019
Texas A&M University College Station TX 08/2015 05/2019
Axa Advisors, Llc New York NY 05/2019 06/2020
Equitable Advisors, Llc New York NY 05/2019 07/2023
49 Wealth Management, Llc Austin TX 07/2023 06/2026
Purshe Kaplan Sterling Investments Albany NY 08/2023 07/2024
Oakwood Capital Securities, Inc. Minneapolis MN 07/2024 06/2026
  • 06/2026 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2026 → Present
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 06/2016 → 01/2019
    Avinext
    College Station, TX
  • 08/2015 → 05/2019
    Texas A&M University
    College Station, TX
  • 05/2019 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 05/2019 → 07/2023
    Equitable Advisors, Llc
    New York, NY
  • 07/2023 → 06/2026
    49 Wealth Management, Llc
    Austin, TX
  • 08/2023 → 07/2024
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 07/2024 → 06/2026
    Oakwood Capital Securities, Inc.
    Minneapolis, MN
Previous Registrations
Other Businesses

1. GRANT THOMPSON FINANCIAL, Spring, TX 77386, 06/02/2026, Owner, DBA Name, NIR, 160 HR/MO – 120 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-09
S63 Uniform Securities Agent State Law Examination 2019-04-03
  • S66 Uniform Combined State Law Examination
    2019-10-09
  • S63 Uniform Securities Agent State Law Examination
    2019-04-03
Other Names
  • Austin David Thompson
  • Austin Thompson

View on SEC IAPD

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