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Lucas Roko Sorich

Cambridge Investment Research Advisors, Inc.

Morgan Hill, CA

CRD 8016851

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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
CA RA APPROVED 2026-08-14
  • CA RA
    APPROVED
    Since 2026-08-14

Branch Locations

18181 Butterfield Blvd Suite 170, Morgan Hill, CA 95037 • 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 Advisors, Inc. Fairfield IA 08/2026 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2024 Present
Trader Joe's Morgan Hill CA 08/2024 12/2025
Mod Pizza Morgan Hill CA 05/2023 08/2023
Ymca Morgan Hill CA 04/2021 07/2022
San Diego State University San Diego CA 08/2022 06/2024
De Anza College Cupertino CA 06/2020 06/2022
Saint Francis High School Mountain View CA 08/2016 05/2020
  • 08/2026 → Present
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 12/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2024 → 12/2025
    Trader Joe's
    Morgan Hill, CA
  • 05/2023 → 08/2023
    Mod Pizza
    Morgan Hill, CA
  • 04/2021 → 07/2022
    Ymca
    Morgan Hill, CA
  • 08/2022 → 06/2024
    San Diego State University
    San Diego, CA
  • 06/2020 → 06/2022
    De Anza College
    Cupertino, CA
  • 08/2016 → 05/2020
    Saint Francis High School
    Mountain View, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-07-07
  • S65 Uniform Investment Adviser Law Examination
    2026-07-07

View on SEC IAPD

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