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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
AR RA APPROVED 2021-12-01
  • AR RA
    APPROVED
    Since 2021-12-01

Branch Locations

14 Berrydale Lane, Bella Vista, AR 72715 • United States

Bella Vista, AR • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2013 Present
Previous Registrations
  • 2012-10-05 → 2014-03-18
    Foundations Asset Management, Llc
    Anchorage, AK
  • 2011-01-18 → 2012-12-31
    Global Permanent Capital Management Llc
    Anchorage, AK
  • 2008-08-28 → 2010-12-31
    Global Permanent Capital Management Llc
    Anchorage, AK
  • 2007-12-12 → 2008-06-25
    Wells Fargo Investments, Llc
    Anchorage, AK
  • 1995-07-12 → 2007-08-20
    Anchorage, AK
    Anchorage, AK
Other Businesses

1) Gateway Insurance Group, Inc., 6000 Uptown Blvd, Ste 100, Albuquerque NM 87110, United States, 0714/2024, Agent, Insurance/Benefits/Human Resources, INV REL, 2 HR/MO 0 HR TRADING 2) CAMBRIDGE INVESTMENT RESEARCH ADVISORS, 1776 PLEASANT PLAIN ROAD, FAIRFIELD, IA 52556, 01/2014, IAR, INV REL, 160 HR/MO 120 TRADING 3) Gateway Financial Advisors, 4 Dirleton Lane, Bella Vista AR 72715, United States, 01/15/2013, IAR, DBA Name, INV REL, 60 HR/MO 60 TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-02
S63 Uniform Securities Agent State Law Examination 1993-05-01
  • S65 Uniform Investment Adviser Law Examination
    1995-12-02
  • S63 Uniform Securities Agent State Law Examination
    1993-05-01
Other Names
  • Todd Laporte
  • Todd Cameron Laporte

View on SEC IAPD

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