Alexander James Macfarlane Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2015 → 02/2017
  Vipkid
  Beijing
• 02/2017 → 04/2017
  Unemployed
  Denver, CO
• 05/2017 → 10/2020
  New York Life Insurance Company
  Denver, CO
• 10/2017 → 10/2020
  Nylife Securities, Llc
  Denver, CO
• 10/2020 → 11/2022
  Equitable Advisors, Llc
  New York, NY
• 11/2022 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 07/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Other Businesses

1) ZEN OF ABUNDANCE, WHEAT RIDGE, CO, 01/2022, OWNER, PUBLIC SPEAKING, NIR, 8 HR/MO 0 HR/MO Trading 2) LONG COVID RELIEF PROGRAM, WHEAT RIDGE, CO, 10/2022, OWNER, CONSULTATION, NIR, 10 HR/MO 0 HR/MO TRADING 3) ALEX MACFARLANE, Denver, CO, 01/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 25 HR/MO, 12 HR/MO Trading 4) AXIOM WEALTH ALLIANCE, 730 17th St, Ste 830, Denver CO 80202, United States, 12/01/2022, IAR , Using a Trade Name/dba, INV REL, 160 HR/MO - 160 HR/MO TRADING 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/24/2024

Exams

• S66 Uniform Combined State Law Examination
  2024-07-03

Other Names

• Alex Macfarlane