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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_RES 2022-12-13
CA RA APPROVED 2022-12-09
  • TX RA
    APPROVED_RES
    Since 2022-12-13
  • CA RA
    APPROVED
    Since 2022-12-09

Branch Locations

Santa Maria, CA • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cantella & Co Inc Malden MA 10/2010 12/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2022 Present
Cantella & Co., Inc. Malden MA 12/2010 06/2023
  • 10/2010 → 12/2022
    Cantella & Co Inc
    Malden, MA
  • 12/2022 → Present
    Fairfield, IA
  • 12/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 12/2010 → 06/2023
    Cantella & Co., Inc.
    Malden, MA
Previous Registrations
  • 2010-10-27 → 2023-06-01
    Cantella & Co., Inc.
    Santa Maria, CA
    Nipomo, CA
    Malden, MA
    Malden, MA
  • 2008-01-01 → 2010-10-19
    Santa Maria, CA
  • 2005-10-03 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Santa Maria, CA
    Santa Maria, CA
    St. Louis, MO
  • 2003-05-12 → 2005-10-04
    Santa Maria, CA
Other Businesses

MICHAEL FAVORITE, 2848 La Serena Pl., Santa Maria CA 93455, 11/2022, Agent, Insurance/Benefits/Human Resources, INV REL, 2 HR/MO, 0 HR/MO Trading FAVORITE ENTERPRISES, 2848 La Serena pl, Santa Maria CA 93455, 06/2018, President, Owner/Partner of a Business Entity, NIR, 2 HR/MO, 0 HR/MO Trading CIRA / 1776 Pleasant Plain Rd, Fairfield IA 52556 / 11/2022 / IAR AFFILIATION / INV REL / 160 HR/MO 120 HR TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-19
S63 Uniform Securities Agent State Law Examination 1984-03-26
  • S66 Uniform Combined State Law Examination
    2016-01-19
  • S63 Uniform Securities Agent State Law Examination
    1984-03-26
Other Names
  • Mikal Favorite
  • Mikal Favorite

View on SEC IAPD

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