Full text of CAMBRIDGE INVESTMENT RESEARCH, INC.'s X-17A-5 filed 2025-02-28 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES OM8 Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2024 FILING FOR THE PERIOD BEGINNING\_01/01/2024 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Cambridge Investment Research, Inc. TYPE OF REGISTRANT (check all applicable boxes): √ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1776 Pleasant Plain Road (No. and Street) 52556 Fairfield lowa (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 641-472-5100 carla.stone@cir2.com Carla Stone (Email Address) (Name) (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* RSM US LLP (Name - if individual, state last, first, and middle name) 201 1st Street SE, Suite 800 IA 52401 Cedar Rapids (Zip Code) (City) (State) (Address) 49 09/24/2003 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. OMB APPROVA Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Carla Stone | swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------|-------------------------------------------------------------------------------------------------------------------------------------|-------| | | financial report pertaining to the firm of Cambridge Investment Research, Inc. | as of | | December 31 | 2 024 | | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | as that of a customer.  Signature: Title · FVP, Finance & CAO - This filing\*\* cont…Read the full text as markdown