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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
NY RA APPROVED 2025-06-18
  • NY RA
    APPROVED
    Since 2025-06-18

Branch Locations

West Islip, NY • United States

21 Bennetts Rd. Ste. 201 B, Setauket, NY 11733 • 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
Fgs Financial, Inc. Setauket NY 11/2016 06/2024
Stay At Home Mom/Unemployed West Islip NY 01/2014 10/2016
Commonwealth Financial Network Waltham MA 06/2024 06/2025
Fgs Financial, Inc. East Setauket NY 06/2024 Present
Cambridge Investment Research, Inc. Fairfield IA 06/2025 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2025 Present
  • 11/2016 → 06/2024
    Fgs Financial, Inc.
    Setauket, NY
  • 01/2014 → 10/2016
    Stay At Home Mom/Unemployed
    West Islip, NY
  • 06/2024 → 06/2025
    Waltham, MA
  • 06/2024 → Present
    Fgs Financial, Inc.
    East Setauket, NY
  • 06/2025 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2025 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 06/18/2025

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-05-16
  • S66 Uniform Combined State Law Examination
    2024-05-16
Other Names
  • Brandy L Smith

View on SEC IAPD

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