Richard Joseph Testa

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

• 02/2010 → 10/2021
  Prosperafinancial Services, Inc.
  Dallas, TX
• 10/2021 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2021 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2010-02-18 → 2021-10-27
  Prospera Financial Services, Inc.
  Dallas, TX
  Natick, MA
• 2007-01-12 → 2010-02-09
  Jesup & Lamont Securities Corp
  Boston, MA

Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2. TESTA ASSOCIATES LLC, Natick MA 01760, United States, 10/25/2021, IAR, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-10-29
• S66 Uniform Combined State Law Examination
  1999-02-10

Designations

• Certified Financial Planner

Other Names

• Richard J (Jr) Testa