Christopher Michael Barone

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

• 12/2014 → 12/2016
  Investors Capital Corporation
  Lynnfield, MA
• 06/2016 → 10/2017
  Cetera Advisors Llc
  Denver, CO
• 01/2018 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 01/2018 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 11/2017 → Present
  The Professional Alliance
  Milford, MA

Previous Registrations

• 2016-12-05 → 2017-10-27
  Cetera Advisors Llc
  Wakefield, MA

Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING, 01/05/18. 2.THE PROFESSIONAL ALLIANCE, 12 ASYLUM ST, MILFORD, MA, 1/01/2018 AS FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 40/WK - 40/TRADING. 3.RIPCORD WEALTH, LLC, 12 ASYLUM ST, MILFORD, MA, 1/01/2018 AS OWNER/BOARD MEMBER OF HOLDING COMPANY FOR THE PROFESSIONAL ALLIANCE. INV REL - 10/MO - 0/TRADING. 4.CHRISTOPHER BARONE, INDEPENDENT INSURANCE AGENT, 12 ASYLUM ST, MILFORD, MA, 9/01/2018 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 2/TRADING. 5. RIPCORD WEALTH, 12 ASYLUM STREET, MILFORD MA, DBA, PARTNER, 06/10/20, INV REL, 20/WK- 20/TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-11-27
• S63 Uniform Securities Agent State Law Examination
  2014-07-14

Other Names

• Christopher Barone