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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
KS RA APPROVED 2023-05-09
TX RA APPROVED 2023-05-09
  • KS RA
    APPROVED
    Since 2023-05-09
  • TX RA
    APPROVED
    Since 2023-05-09

Branch Locations

8700 Indian Creek Parkway Ste 345, Overland Park, KS 66210 • 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
Massmutual Life Insurance Company Overland Park KS 11/2010 06/2018
Mml Investor Services, Inc. Overland Park KS 11/2010 06/2018
Securities America, Inc. Overland Park KS 06/2018 05/2023
Securities America Advisors Overland Park KS 06/2018 05/2023
Cambridge Investment Research, Inc. Fairfield IA 05/2023 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2023 Present
  • 11/2010 → 06/2018
    Massmutual Life Insurance Company
    Overland Park, KS
  • 11/2010 → 06/2018
    Mml Investor Services, Inc.
    Overland Park, KS
  • 06/2018 → 05/2023
    Securities America, Inc.
    Overland Park, KS
  • 06/2018 → 05/2023
    Securities America Advisors
    Overland Park, KS
  • 05/2023 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 05/2023 → Present
    Fairfield, IA
Previous Registrations
  • 2018-06-07 → 2023-05-18
    Securities America Advisors, Inc.
    Overland Park, KS
  • 2015-11-16 → 2018-06-11
    Overland Park, KS
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING, 05/2023 2) KANSAS CITY CHIEFS FOOTBALL CLUB, 1 ARROWHEAD WAY KANSAS CITY MO 64110, 05/02023, W2 EMPLOYEE, SPORT/FITNESS, NIR, 20 HR/MO 2 HR/MO TRADING 3) PREMIER INCOME PARTNERS, 8700 INDIAN CREEK PARKWAY SUITE 345 OVERLAND PARK KS 66210, 05/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 80 HR/MO 80 HR/MO TRADING 4) ROCKWATER ASSOCIATES, 20715 N. Pima Rd. #108, Scottsdale AZ 85255, United States, 03/01/2025, Referrals, Accounting/Bookkeeping/Payroll Services, NIR, 5 HR/MO 5 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-30
S63 Uniform Securities Agent State Law Examination 2011-03-23
  • S66 Uniform Combined State Law Examination
    2015-10-30
  • S63 Uniform Securities Agent State Law Examination
    2011-03-23

View on SEC IAPD

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