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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
MN RA APPROVED 2017-11-29
TX RA APPROVED 2017-11-29
  • MN RA
    APPROVED
    Since 2017-11-29
  • TX RA
    APPROVED
    Since 2017-11-29

Branch Locations

8677 Eagle Point Blvd, Lake Elmo, MN 55042 • 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
Sii Investments Lake Elmo MN 06/2015 11/2017
Cambridge Investment Research, Inc. Fairfield IA 11/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2017 Present
Previous Registrations
  • 2015-06-29 → 2017-11-29
    Sii Investments, Inc.
    Lake Elmo, MN
    Lake Elmo, MN
    Zimmerman, MN
  • 2014-01-21 → 2015-07-07
    Lake Elmo, MN
    Lake Elmo, MN
    Lake Elmo, MN
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 11/2017, AS ADVISORY REP OF A RIA. INV REL, 45/WK 35/TRADING 2) MADER WEALTH INC, 8677 Eagle Point Blvd, Lake ELlmo MN 55129, 0/2022, President, Using a Trade Name/dba, NIR, 160 HR/MO 120 HR/MO TRADING 3) ASH BROKERAGE, 888 S HARRISON ST #900 FORT WAYNE IN 46802, 03/2020, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 2 HR/MO 2 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1992-06-24
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1992-06-24

View on SEC IAPD

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