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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
PR RA APPROVED 2026-07-07
TX RA APPROVED 2021-08-16
NC RA APPROVED 2021-08-13
  • PR RA
    APPROVED
    Since 2026-07-07
  • TX RA
    APPROVED
    Since 2021-08-16
  • NC RA
    APPROVED
    Since 2021-08-13

Branch Locations

Pineville, NC • 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
Minnesota Life Insurance Company St. Paul MN 05/2018 08/2021
Securian Financial Services Inc St. Paul MN 05/2018 08/2021
North Star Resource Group Durham NC 05/2018 08/2021
University Of North Carolina At Chapel Hill Chapel Hill NC 08/2014 Present
North Star Resource Group Durham NC 04/2017 05/2018
Securian Financial Services Inc St. Paul MN 04/2017 05/2018
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2021 Present
Cambridge Investment Research, Inc. Fairfield IA 08/2021 Present
  • 05/2018 → 08/2021
    Minnesota Life Insurance Company
    St. Paul, MN
  • 05/2018 → 08/2021
    Securian Financial Services Inc
    St. Paul, MN
  • 05/2018 → 08/2021
    North Star Resource Group
    Durham, NC
  • 08/2014 → Present
    University Of North Carolina At Chapel Hill
    Chapel Hill, NC
  • 04/2017 → 05/2018
    North Star Resource Group
    Durham, NC
  • 04/2017 → 05/2018
    Securian Financial Services Inc
    St. Paul, MN
  • 08/2021 → Present
    Fairfield, IA
  • 08/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2018-07-09 → 2021-08-18
    Securian Financial Services, Inc.
    Durham, NC
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2. OP WEALTH MANAGEMENT, 401 Johnston Dr, Pineville NC 28134, United States, 02/02/2024, President, Owner/Partner of a Business Entity, INV REL, 1 HR/MO - 1 HR/MO TRADING 3. CAMERON CHURCH, 401 Johnston Dr, Pineville NC 28134, 12/2024, Paid Surveys, NIR, 1 HR/MO, 0 HR/MO TRADING. 4. SOUND FOUNDATION WEALTH ADVISORS, Pineville NC 28134, United States, 08/13/2021, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING 5. CROSSFIT, 10000 Pineville Matthews Road, Pineville NC 28134, United States, 04/24/2025, W2 Employee, Sport/Fitness/Gaming, NIR, 5 HR/MO - 0 HR/MO TRADING 6. OP TAX PLANNING LLC; SOUND FOUNDATION TAX PLANNERS, 401 Johnston Dr, Pineville NC 28134, United States, 01/01/2026, Owner, Accounting/Bookkeeping/Payroll Services, NIR, 10 HR/MO - 10 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-25
  • S66 Uniform Combined State Law Examination
    2018-06-25
Designations
  • Certified Financial Planner

View on SEC IAPD

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