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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
TX RA APPROVED_RES 2014-05-13
IL RA APPROVED 2014-05-07
  • TX RA
    APPROVED_RES
    Since 2014-05-13
  • IL RA
    APPROVED
    Since 2014-05-07

Branch Locations

444 W Lake St. Ste. 1700, Chicago, IL 60606 • United States

Chicago, IL • 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 05/2014 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2014 Present
Previous Registrations
Other Businesses

1)LAUER FINANCIAL, 444 West Lake St., Ste. 1700, Chicago IL 60606, United States, 04/04/2006, Agent, Insurance/Benefits/Human Resources, NIR, 16 HR/MO - 16 HR/MO TRADING 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 5/2014 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 40/TRADING 3)LAUER FINANCIAL LLC, 444 Lake St., Ste. 1700, Chicago IL 60606, United States, 01/05/2016, Managing Member, Owner/Partner of a Business Entity, IR, 167 HR/MO - 167 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-04
  • S66 Uniform Combined State Law Examination
    2006-04-04

View on SEC IAPD

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