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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
IL RA APPROVED 2020-06-18
  • IL RA
    APPROVED
    Since 2020-06-18

Branch Locations

Lemont, IL • United States

11146 Front Street, Mokena, IL 60448 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors, Inc. Oak Brook IL 04/2015 06/2020
Cambridge Investment Research, Inc. Fairfield IA 06/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2020 Present
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 06/18/2020, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 2) CORNERSTONE PRIVATE WEALTH MANAGEMENT, 1100 JORIE BLVD, STE 251, OAK BROOK,IL, 02/2020, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 5 HR/MO, 0 HR/MO TRADING. 3) CORNERSTONE PRIVATE WEALTH MANAGEMENT, 1100 JORIE BLVD, STE 251, OAK BROOK,IL, 02/2020, OWNER, DBA, INV REL, 40 HR/MO, 40 HR/MO TRADING. 4) GRAND LODGE OF AF&AM OF THE STATE OF ILLINOIS, 2866 S VIA VERDE ST, SPRINGFIELD, IL, 02/2020, BOARD MEMBER, NIR, 2 HR/MO, 0 HR/MO TRADING. 5) CORNERSTONE PRIVATE WEALTH PARTNERS, 1100 Jorie Blvd. Suite 251, Oak Brook IL 60523, 06/2023, Owner, Owner/Partner of Business Entity, INV REL, 30 HR/MO - 30 HR/MO TRADING. 6) Scottish Rite Valley of Chicago, 383 E Lake St. Bloomingdale, IL 60108, Board Member, Officer/Director/Committee Member/Board Trustee, NIR, 3 HO/MO, 0 HR/MO TRADING 7) LIONHEART FINANCIAL LTD., 11146 Front Street, Mokena IL 60448, United States, 09/01/2025, Investment Advisor Representative, DBA Name, NIR, 0 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-07-21
  • S66 Uniform Combined State Law Examination
    2014-07-21

View on SEC IAPD

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