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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
TX RA APPROVED 2012-01-04
  • TX RA
    APPROVED
    Since 2012-01-04

Branch Locations

3600 W Parmer Ln Ste 207, Austin, TX 78727 • 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
Wayt Financial Austin TX 06/1998 Present
Cambridge Investment Research, Inc Fairfield IA 01/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 01/2012 Present
Previous Registrations
Other Businesses

1) INSURANCE, 7500 RIALTO BLVD BLDG 1 STE 250 AUSTIN TX, 01/1996, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 20 HR/WK 10 HR/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2012, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING 3) BENEFITMALL, 901 S MOPAC EXPRESSWAY SUITE 125 AUSTIN TX, NIR, 2 HR/MO 2 HR/MO TRADING 4) POSITION OF TRUST, 4507 AUTUMNLEAF HOLLOW AUSTIN 78731, 08/2018, SUCCESSOR EXECUTOR, NIR, 0 HR/MONTH 0 HR/MONTH TRADING 5) TED COUNCIL, 1 HORIZON WAY DEERFIELD IL, 08/2024, COMMITTEE MEMBER, BIOTECH, NIR, 1 HR/MO 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-28
S63 Uniform Securities Agent State Law Examination 1999-04-28
  • S65 Uniform Investment Adviser Law Examination
    1999-12-28
  • S63 Uniform Securities Agent State Law Examination
    1999-04-28
Designations
  • Certified Financial Planner

View on SEC IAPD

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