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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
AZ RA APPROVED 2022-03-17
TX RA APPROVED_RES 2022-03-07
  • AZ RA
    APPROVED
    Since 2022-03-17
  • TX RA
    APPROVED_RES
    Since 2022-03-07

Branch Locations

17505 N. 79Th Ave Suite 305, Glendale, AZ 85308 • United States

Scottsdale, AZ • 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
First Financial Equity Corporation Sun City AZ 04/2010 03/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 03/2022 Present
Previous Registrations
  • 2010-04-26 → 2022-04-01
    Ffec Wealth Partners Llc
    Glendale, AZ
    Scottsdale, AZ
  • 2009-10-05 → 2010-03-22
    Phoenix, AZ
  • 2006-02-07 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Sun City, AZ
    Sun City, AZ
    Wickenburg, AZ
Other Businesses

1. Insurance Business, Glendale AZ 85358, United States, 03/2022, Agent, Insurance/Benefits/Human Resources, NIR, 6 HR/MO - 6 HR/MO TRADING 2. CIRA, Fairfield IA 52556, United States, 03/2022, Investment Advisor Representative, Inv-Rel, 40 HR/MO - 20 HR/MO Trading 3. Arrowhead Financial Services, Glendale AZ 85308, United States, 03/2022, Using a Trade Name/dba, Inv-Rel, 1 HR/MO - 1 HR/MO Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-20
S63 Uniform Securities Agent State Law Examination 1995-11-17
  • S65 Uniform Investment Adviser Law Examination
    2006-06-20
  • S63 Uniform Securities Agent State Law Examination
    1995-11-17
Other Names
  • Russell Calvin Harris

View on SEC IAPD

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