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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
MO RA APPROVED 2024-08-01
TX RA APPROVED 2024-08-01
  • MO RA
    APPROVED
    Since 2024-08-01
  • TX RA
    APPROVED
    Since 2024-08-01

Branch Locations

390 South Woods Mill Rd. Ste. 100, Chesterfield, MO 63017 • 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
St. Louis Royals R.F.C. St. Louis MO 12/2003 Present
Ohio National Financial Services Cincinnati OH 08/2007 08/2024
The O.N. Equity Sales Company Cincinnati OH 08/2007 08/2024
Cambridge Investment Research, Inc. Fairfield IA 08/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2024 Present
  • 12/2003 → Present
    St. Louis Royals R.F.C.
    St. Louis, MO
  • 08/2007 → 08/2024
    Ohio National Financial Services
    Cincinnati, OH
  • 08/2007 → 08/2024
    The O.N. Equity Sales Company
    Cincinnati, OH
  • 08/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2024 → Present
    Fairfield, IA
Previous Registrations
  • 2012-08-28 → 2024-08-01
    Chesterfield, MO
    Cincinnati, OH
  • 2009-02-11 → 2012-08-28
    The America Group Financial Advisory Services, Llc
    St. Louis, MO
Other Businesses

1) AARON STEWART, 13215 DAMASK CT SAINT LOUIS MO, 08/2024, COACH, BUSINESS CONSULTING, NIR, 4 HR/MO 0 HR/MO TRADING 2) THE AMERICA GROUP, 390 S WOODS MILL RD STE CHESTERFIELD MO, 08/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 200 HR/MO 200 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 08/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-21
  • S66 Uniform Combined State Law Examination
    2007-08-21

View on SEC IAPD

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