Best Investors Account Sign in
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
AL RA APPROVED 2012-10-24
  • AL RA
    APPROVED
    Since 2012-10-24

Branch Locations

2456 Dolly Ridge Trl, Birmingham, AL 35243 • United States

9310 Crossland Loop, Montgomery, AL 36117 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc Fairfield IA 10/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 10/2012 Present
Previous Registrations
  • 2008-01-01 → 2012-10-08
    Montgomery, AL
    Montgomery, AL
  • 2001-11-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Montgomery, AL
    St. Louis, MO
    Prattville, AL
Other Businesses

1. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2. Midland Trust IRA, 1520 Royal palm Square Blvd, #320, ft meyers FL 33919, United States, START DATE: 11/11/2021, Investor, Real Estate, INV REL, 0 HR/MO - 0 HR/MO TRADING 3. SPRAGUE STEVENSON WEALTH ADVISORS, 8310 Crossland Loop, Montgomery AL 36117, 10/2012, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-12-27
  • S63 Uniform Securities Agent State Law Examination
    1991-12-27
Other Names
  • Jeff Sprague

View on SEC IAPD

More in Birmingham, AL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor