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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
MD RA APPROVED 2016-05-12
  • MD RA
    APPROVED
    Since 2016-05-12

Branch Locations

Walkersville, MD • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 05/2016 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2016 Present
Previous Registrations
  • 2013-01-11 → 2016-05-05
    Cetera Advisors Llc
    Webster, NY
    Frederick, MD
  • 2007-10-09 → 2012-12-14
    Vienna, VA
    Ashton, MD
    Fairfax, VA
    Olney, MD
    Rockville, MD
    Silver Spring, MD
    Vienna, VA
    Silver Sprint, MD
    Chantilly, VA
    Leesburg, VA
    Fairfax, VA
    Fairfax, VA
    Rockville, MD
    Silver Spring, MD
    Silver Springs, MD
    Olney, MD
  • 2005-05-06 → 2007-10-09
    Uvest Financial Services Group, Inc.
    Olney, MD
    Olney, MD
    Leesburg, VA
    Fairfax, VA
    Fairfax, VA
    Chantilly, VA
    Vienna, VA
Other Businesses

1.HUMMINGBIRD WEALTH MANAGEMENT LLC; 21 W Pennsylvaniia Avenue, Unit B, Walkersville MD 21793, United States, 01/14/2013, Owner, Author/Educator/Podcast/Speaker, INV REL - 200HR/MO - 200/TRADING. 2.INDEPENDENT INSURANCE AGENT, 9624 WOODSBORO RD, FREDERICK, MD, 5/2016 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 10/TRADING. 3.HUMMINGBIRD DIVORCE MANAGMENT, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, DIVORCE FINANCIAL COUNSELING, STARTED 8/2015, CERTIFIED DIVORCE FINANCIAL ANALYST, APX 10 HOURS PER WEEK, NOT DURING TRADING HOURS, PAID ADVICE SPECIFICALLY TO THE FINANCIAL CONSEQUENCES IN DIVORCE. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5.HOURSEPOWER COMPOUND, 9624 WOODSBORO ROAD, FREDERICK, MD, OWNER ACTIVE FARM PROPERTY, 06/01/11, NIR, 5/WK- 0/TRADING 6.SECOND CHANCES GARAGE, 528 N MARKET STREET, FREDERICK, MD, 01/01/24, Chairman, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2/WK- 0/TRADING 7.JEEP FEST FOR CHARITY, INC., 9624 Woodsboro Road, Frederick MD 21701, United States, 08/03/2021, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 10 HR/MO - 0 HR/MO TRADING 8. ALL YOU GOTTA DO LLC, 9624 Woodsboro Road, Frederick MD 21701, United States, 04/15/2022, Owner, Construction/Labor, NIR, 8 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-05
  • S66 Uniform Combined State Law Examination
    2005-05-05
Designations
  • Certified Financial Planner
Other Names
  • Laura Conway

View on SEC IAPD

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