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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
CO RA APPROVED 2025-01-02
TX RA APPROVED_RES 2020-06-04
  • CO RA
    APPROVED
    Since 2025-01-02
  • TX RA
    APPROVED_RES
    Since 2020-06-04

Branch Locations

Colorado Springs, CO • United States

1800 Teague Dr. Ste. 110, Sherman, TX 75090 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co.,Inc Colorado Springs CO 04/2013 06/2017
Charles Schwab Bank Colorado Springs CO 04/2013 06/2017
Lighthouse Financial Llc Colorado Springs CO 09/2019 06/2020
Cambridge Investment Research, Inc. Fairfield IA 06/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2020 Present
Accelerated Wealth Advisors, Llc Colorado Springs CO 08/2017 06/2020
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/04/20. 2) BARKER INVESTMENT SERVICES, 1800 TEAGUE DR, STE 417, SHERMAN, TX, BUSINESS OWNER, 01/01/21, INV REL, 20 HR/WK- 10/TRADING HR.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-10-02
S66 Uniform Combined State Law Examination 2009-09-22
  • S63 Uniform Securities Agent State Law Examination
    2020-10-02
  • S66 Uniform Combined State Law Examination
    2009-09-22

View on SEC IAPD

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