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Cambridge Investment Research Advisors, Inc. CRD 134139
$139B regulatory AUM 68,815 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2017-07-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Metairie | LA | 01/2004 | 03/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 02/2007 | 03/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 03/2017 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 06/2017 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 06/2017 | Present |
1.THE LEYENS GROUP, 225 SUMMIT AVE, FORT WASHINGTON, PA, 7/1990 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 160 HR/MO - 140 HR/MO Trading. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3.EXPERT WITNESS, FORT WASHINGTON, PA, 09/2019. PROVIDING CONSULTING AND TESTIMONY. NIR-20/YR-1/TRADING.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-11-21 |
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