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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
MI RA APPROVED 2013-10-17
  • MI RA
    APPROVED
    Since 2013-10-17

Branch Locations

West Olive, MI • 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 10/2013 Present
Cambridge Investment Research Advisors Fairfield IA 10/2013 Present
  • 10/2013 → Present
    Cambridge Investment Research Inc
    Fairfield, IA
  • 10/2013 → Present
    Cambridge Investment Research Advisors
    Fairfield, IA
Previous Registrations
  • 2010-12-22 → 2013-10-16
    Royal Advisors, Llc
    Grandville, MI
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2. AUTHOR "THE CRANBROOK CHRONICLES", WEST OLIVE, MI, 1/2017. NIR - 6/MO - 0/TRADING. 3. STATE OF MICHIGAN ELECTION INSPECTOR, 13300 168th Ave, Grand Haven MI 49417, United States, 11/05/2024, Election worker, Poll Worker, NIR, 12/MO - 7/Trading 4. PIVOTAL FINANCIAL ADVISORS, 10073 Hiawatha Drive, West Olive, MI 49460-9163, 07/2026, 1099 Contractor, DBA Name, NIR, 160 HR/MO, 110 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-12-20
S63 Uniform Securities Agent State Law Examination 1992-04-20
  • S65 Uniform Investment Adviser Law Examination
    2010-12-20
  • S63 Uniform Securities Agent State Law Examination
    1992-04-20
Other Names
  • Deborah Lee Dailey
  • Deborah Lee Hatch
  • Deborah Lee Hatch

View on SEC IAPD

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