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Cambridge Investment Research Advisors, Inc. CRD 134139
$139B regulatory AUM 68,815 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2020-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Penn Mutual Life Ins Co | Cincinnatti | OH | 06/2003 | Present |
| Ohio National Financial Services | Cincinnati | OH | 06/2007 | Present |
| Private Client Services Llc | Louisville | KY | 08/2011 | 03/2020 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 03/2020 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 03/2020 | Present |
1) REFEREE FOR BASKETBALL, CINCINNATI OH, GRADE SCHOOL AND HIGH SCHOOL BASKETBALL GAMES, SOLE PROPRIETORSHIP, NIR, 3/WK 0/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 20/WK 20/TRADING. 03/13/20 3) CHUCK COLE FINANCIAL SERVICES LLC, 3310 WESTBOURNE DR CINCINNATI OH, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 09/06/84, INV REL, 15/WK- 10/TRADING 4) CHUCK COLE FINANCIAL SERVICES LLC, 3310 WESTBOURNE DR CINCINNATI OH, DBA LLC, 03/13/20, OWNER, INV REL, 40/WK- 40/TRADING 5) TBD, 9496 READING RD CINCINNATI OH 45215, 08/2022, OWNER, RENTAL PROPERTY, NIR, 4 HR/MO 1 HR/MO TRADING 6) CHUCK COLE, 6880 Rackview Rd, Cincinnati OH 45248, United States, 10/02/2023, Author/Educator/Podcast/Speaker, NIR, 5 HR/MO - 5 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-14 |
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