Thomas Joseph Spay

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

• 03/2013 → Present
  Cambridge Investment Research Inc.
  Fairfield, IA
• 03/2013 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 1999-11-29 → 2012-12-31
  Mml Investors Services, Llc
  Davenport, IA
  Davenport, IA

Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 3) SPAY & ASSOCIATES, 5465 Utica Ridge Rd, Davenport IA 52807, United States, START DATE 01/2015, Investment Advisor Representative, DBA Name, NIR, 0 HR/MO, 0 HR/MO TRADING

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-12-07