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Cambridge Investment Research Advisors, Inc. CRD 134139
$139B regulatory AUM 68,815 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2021-04-01 |
| TX | RA | APPROVED | 2021-02-25 |
| AZ | RA | APPROVED | 2018-06-21 |
Branch Locations
1003 Bishop St. #1240, Honolulu, HI 96813 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | Phoenix | AZ | 06/1995 | 06/2018 |
| Prudential Insurance Company Of America | Phoenix | AZ | 06/1995 | 06/2018 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 06/2018 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 06/2018 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 40 HR/WK 20 HR/TRADING, 06/2018 2) JENNIFER ROMANO, CHANDLER AZ 85226, 10/1995, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 20 HR/MO 20 HR/MO TRADING 3) WEALTH MANAGING PARTNERS INC, 1003 BISHOP ST STE 1240 HONOLULU HI, 07/2018, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 25 HR/MO 25 HR/MO TRADING 4) WEALTH MANAGING PARTNERS INC, 1003 BISHOP ST STE 1240 HONOLULU HI, 06/21/2018, DBA, Using a Trade Name/dba, INV REL, 200 HR/MO 80 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-07 |
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