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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 2022-12-08
  • PA RA
    APPROVED
    Since 2022-12-08

Branch Locations

Yardley, 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
Cantella & Co Inc Boston MA 11/2003 06/2023
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2022 Present
Cantella & Co Inc Boston MA 11/2003 06/2023
  • 11/2003 → 06/2023
    Cantella & Co Inc
    Boston, MA
  • 12/2022 → Present
    Fairfield, IA
  • 12/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 11/2003 → 06/2023
    Cantella & Co Inc
    Boston, MA
Previous Registrations
  • 2003-11-17 → 2023-06-01
    Cantella & Co., Inc.
    Yardley, PA
    Malden, MA
    Malden, MA
Other Businesses

CIRA, Fairfield IA 52556, 12/2022, Investment Advisor Representative, manages client assets or prepares financial plans, INV-REL, 160 HO/MO - 120 HR/MO Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-03
S63 Uniform Securities Agent State Law Examination 1995-10-20
  • S65 Uniform Investment Adviser Law Examination
    1995-11-03
  • S63 Uniform Securities Agent State Law Examination
    1995-10-20

View on SEC IAPD

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