Curtis James Hein

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2009 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 12/2009 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2007-05-29 → 2009-12-22
  Citigroup Global Markets Inc.
  Chicago, IL
  River Forest, IL
• 2004-03-31 → 2007-05-29
  Citicorp Investment Services
  Riverforest, IL
  River Forest, IL

Other Businesses

1) CURTIS HEIN, 1000 JORIE BLVD SUITE 326, OAK BROOK IL, 12/2009, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 12 HRS/MO, 12 HRS/MO TRADING. 2) HEIN FINANCIAL GROUP, LLC, 1595 WINBERIE COURT, NAPERVILLE IL 60564. 1/12/2010, SOLE/MANAGING MEMBER DBA, INVESTMENT RELATED. 4HR/MO, 0/MO TRADING. 3) CONTINGENT SUCCESSOR TRUSTEE FOR THE LINDA REISBERG IRREVOCABLE LIFE INSURANCE TRUST, NAPERVILLE, IL, SINCE 5/2015. DEVOTES 0 HR/WK - NONE DURING TRADING. 4) SUCCESSOR TRUSTEE FOR THE RENEE R GLOS BLOCK REVOCABLE LIVING TRUST, NAPERVILLE, IL, SINCE 5/2015. DEVOTES 0 HR/WK - NONE DURING TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 12/18/2009

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-03-30
• S63 Uniform Securities Agent State Law Examination
  1996-06-27

Designations

• Certified Financial Planner