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Cambridge Investment Research Advisors, Inc. CRD 134139
$139B regulatory AUM 68,815 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-19 |
Branch Locations
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gradient Securities, Llc | Arden Hills | MN | 03/2012 | 11/2017 |
| Center Street Securities | Nashville | TN | 11/2017 | 10/2019 |
| Dempsey Lord Smith, Llc | Rome | GA | 10/2019 | 11/2025 |
| Emerson Equity Llc | San Mateo | CA | 11/2025 | 12/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 12/2025 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 12/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 12/2025 | Present |
1) MICHAEL DOSE, 2818 LUNA AVE, San Diego CA 92117, START DATE 12/2025, ROLE Agent, NATURE Insurance/Benefits/Human Resources, NIR, HR/MO 1, HR/MO TRADING 0 2) THE RETIREMENT STRATEGY CONNECTION, 2818 LUNA AVE, San Diego CA 92117, START DATE 06/2000, ROLE Agent, NATURE DBA Name, NIR, HR/MO 1, HR/MO TRADING 0 3) CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, United States, 12/19/2025, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-01-11 |
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