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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
MA RA APPROVED 2023-08-30
  • MA RA
    APPROVED
    Since 2023-08-30

Branch Locations

Dover, MA • 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
Jp Financials & Consulting Llc Brookline MA 11/2018 Present
Transpacifica Financial Monrovia CA 09/2017 10/2018
Self Employed San Mateo CA 07/2016 08/2017
Lpl Financial Llc Newton MA 01/2020 08/2023
Cambridge Investment Research, Inc. Fairfield IA 08/2023 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2023 Present
  • 11/2018 → Present
    Jp Financials & Consulting Llc
    Brookline, MA
  • 09/2017 → 10/2018
    Transpacifica Financial
    Monrovia, CA
  • 07/2016 → 08/2017
    Self Employed
    San Mateo, CA
  • 01/2020 → 08/2023
    Newton, MA
  • 08/2023 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2023 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1) CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, 09/23/2023, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING 2) JP FINANCIALS & CONSULTING LLC, 24 Rocky Brook Rd, Dover MA 02030, United States, 09/28/2023, Agent, Insurance/Benefits/Human Resources, NIR, 40 HR/MO - 20 HR/MO TRADING 3) JP FINANCIALS & CONSULTING LLC, 24 Rocky Brook Rd, Dover MA 02030, United States, 9/28/2023, DBA- DISCLOSURE, Employee (receive a W-2), INV REL, 60 HR/MO - 40 HR/MO TRADING 4) JINPING XU, 24 Rocky Brook Rd, Dover MA 02030, United States, 09/28/2023, Certified Public Accountant, Tax Services, NIR, 10 HR/MO - 5 HR/MO TRADING 5) BEACON TAX GROUP LLC, 24 Rocky Brook Rd, Dover MA 02030, 01/01/2024, Owner, Tax Services, NIR, 10 HR/MO, 10 HR/MO TRADING. 6) MOMO INVESTMENT LLC, 24 Rocky Brook Rd, Dover MA 02030, 11/29/2023, 11/29/2023, Real Estate, NIR, 1 HR/MO, 1 HR/MO TRADING. 7) BEACON TAX GROUP LLC, 24 Rocky Brook Rd, Dover MA 02030, United States, 01/01/2024, Owner, Tax Services, NIR, 10 HR/MO - 10 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-27
  • S66 Uniform Combined State Law Examination
    2020-02-27

View on SEC IAPD

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