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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 2011-09-15
  • PA RA
    APPROVED
    Since 2011-09-15

Branch Locations

613 Baltimore Dr Ste 3, Wilkes Barre, PA 18702 • United States

Clarks Summitt, 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
Self Employed Wilkes-Barre PA 12/1994 Present
Cambridge Investment Research, Inc Fairfield IA 09/2011 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 09/2011 Present
Previous Registrations
  • 2007-08-15 → 2011-09-22
    Tower Square Securities, Inc.
    Wilkes Barre, PA
    Wilkes-Barre, PA
Other Businesses

1)INDEPENDENT INSURANCE AGENT, 613 BALTIMORE DR, STE 3, WILKES BARRE, PA, 2/1990 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 10/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/MO - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-09-09
  • S63 Uniform Securities Agent State Law Examination
    1992-09-09
Other Names
  • Marianne Patricia Gavigan

View on SEC IAPD

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