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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
TX RA APPROVED 2005-03-28
  • TX RA
    APPROVED
    Since 2005-03-28

Branch Locations

2200 Southwest Freeway Ste 322, Houston, TX 77098 • 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
Cambridge Investment Research,Inc Fairfield IA 03/2005 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2005 Present
Previous Registrations
  • 1999-01-19 → 2005-03-04
    Voya Financial Partners, Llc
    Austin, TX
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2005, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 3) KIDDCO FINANCIAL PLANNERS, 2200 Southwest Freeway, Suite 322, Houston TX 77098, 06/24/2024, Owner, Insurance/Benefits/Human Resources, NIR, 1 HR/MO, 1 HR/MO TRADING. 4) GUY KIDD, 2200 Southwest Freeway, Suite 322, Houston TX 77098, United States, 03/2005, Owner, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-12-22
  • S66 Uniform Combined State Law Examination
    1998-12-22

View on SEC IAPD

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