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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
CA RA APPROVED 2026-02-18
TX RA APPROVED_RES 2026-02-05
  • CA RA
    APPROVED
    Since 2026-02-18
  • TX RA
    APPROVED_RES
    Since 2026-02-05

Branch Locations

San Diego, CA • United States

Chico, CA • United States

434 Broadway St. #100, Chico, CA 95928 • 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
Lpl Financial Llc Chico CA 01/2016 12/2023
Cetera Wealth Services, Llc El Segundo CA 12/2023 01/2026
Kna West Chico CA 09/2016 Present
Liberty Bell Financial Group Chico CA 01/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2023 01/2026
Cambridge Investment Research, Inc. Fairfield IA 02/2026 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 02/2026 Present
Previous Registrations
Other Businesses

1. THE KATZ NASSAU AGENCY, INC (KNA WEST), 100 Merrick Road, Suite 108 E, Rockville Centre, NY 11570, United States, 02/04/2026, Agent, Insurance/Benefits/Human Resources, INV REL, 24 HR/MO - 18 HR/MO TRADING 2. CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, 02/18/2026, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-09-22
  • S63 Uniform Securities Agent State Law Examination
    1993-09-22
Designations
  • Certified Financial Planner

View on SEC IAPD

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