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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
MI RA APPROVED 2020-06-29
  • MI RA
    APPROVED
    Since 2020-06-29

Branch Locations

Fraser, MI • United States

5435 Corporate Dr., Ste 230, Troy, MI 48098 • 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
Jpmorgan Chase Bank Sterling Heights MI 09/2015 08/2017
Jpmorgan Chase Bank Sterling Heights MI 09/2015 08/2017
Pnc Investments Pittsburgh PA 08/2017 06/2020
Cambridge Investment Research, Inc. Fairfield IA 06/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2020 Present
  • 09/2015 → 08/2017
    Jpmorgan Chase Bank
    Sterling Heights, MI
  • 09/2015 → 08/2017
    Jpmorgan Chase Bank
    Sterling Heights, MI
  • 08/2017 → 06/2020
    Pnc Investments
    Pittsburgh, PA
  • 06/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2020 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/29/20 2) GLEBA AND ASSOCIATES, 5435 Corporate Drive, Suite 230, Troy MI 48098, 06/2020, Employee, Customer Service, INV REL, 160 HR/MO - 160 HR/MO Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-13
  • S66 Uniform Combined State Law Examination
    2014-01-13

View on SEC IAPD

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