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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
PA RA APPROVED 2017-07-03
  • PA RA
    APPROVED
    Since 2017-07-03

Branch Locations

Fort Washington, PA • 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 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
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-11-21
  • S63 Uniform Securities Agent State Law Examination
    1995-11-21
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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