Full text of CAMBRIDGE INVESTMENT RESEARCH, INC.'s X-17A-5/A filed 2025-05-06 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART II1 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER | FACING PAGE | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------|-----------------|--|--|--| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>01/01/2024 | | | | | | | FILING FOR THE PERIOD BEGINNING<br>MM/DD/YY | 12/31/2024<br>AND ENDING<br>MM/DD/YY | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | Cambridge Investment Research, Inc<br>NAME OF FIRM | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Security-based swap dealer<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1776 Pleasant Plain Road | | | | | | | (No. and Street) | | | | | | | Fairfield<br>lowa | | 52556 | | | | | (City)<br>(State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | 641-472-5100<br>Carla Stone | carla.stone@cir2.com | | | | | | (Area Code - Telephone Number)<br>(Name) | | (Email Address) | | | | | B. AССOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 201 1st Street SE, Suite 800 Cedar Rapids | lowa | 52401 | | | | | (City)<br>(Address) | (State) | (Zip Code) | | | | | 09/24/2003 | 49 | | | | | | (PCAO egistrati Number, appl ble)<br>if<br>BR<br>Registration PCAOB)( applica е)<br>Ica<br>if<br>bl<br>(Date of<br>with<br>on | | | | | | | FOR OFFICIAL USE ONLY<br>* Claims for exemption from the requirement that the annual reports be | covered by the reports of an independent public | | | | | \* Claims for exemption from the requirement that the annual reports be accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. CFR 240.17a-5(e)(1)(ii), if applicable. See 17 Persons who are to respond to the collection of informati…Read the full text as markdown