CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. of FAIRFIELD, IA is an SEC-registered investment adviser (CRD 134139). Regulatory assets under management: $138.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 53 people.
| Name | Role | Location |
|---|---|---|
| Eric Schwartz | TRUSTEE | Fairfield, IA |
| Ryan Boen | EVP, CHIEF FINANCIAL OFFICER | Fairfield, IA |
| Miller Aaron | EXECUTIVE VICE PRESIDENT, RISK MANAGEMENT, GENERAL COUNSEL, CHIEF RISK OFFICER; EXECUTIVE VICE PRESIDENT RISK MANAGEMENT/GENERAL COUNSEL/CHIEF RISK OFFICER/DIRECTOR; PRESIDENT, ADVOCACY AND ADMINISTRATION, GENERAL COUNSEL, DIRECTOR (+1 more) | Chicago, IL |
| Amy Lynn Webber | CHIEF EXECUTIVE OFFICER, SECRETARY, DIRECTOR | — |
| Colleen Mcguire Bell | PRESIDENT, INNOVATION AND EXPERIENCE, DIRECTOR | — |
| Jeffrey Francis Vivacqua | PRESIDENT, GROWTH AND DEVELOPMENT, DIRECTOR | — |
| Seth Aaron Miller | PRESIDENT, ADVOCACY AND ADMINISTRATION, GENERAL COUNSEL, DIRECTOR | — |
| Andrea Lynn Shafer | SENIOR VICE PRESIDENT, CHIEF SUPERVISION OFFICER | — |
| Carla Jean Stone | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | — |
| Tammy Ann Robbins | EXECUTIVE VICE PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | — |
| Stephen Michael Youhn | CHIEF COMPLIANCE OFFICER | — |
| Richard Henry Kuhlman | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | — |
| Eddie Thomas Rollins | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | — |
| Kelly A Schwartz | TRUSTEE | — |
| Martin Worthington Lynn | SR. VICE PRESIDENT, COMPLIANCE/CCO/DIRECTOR; SR. VICE PRESIDENT, COMPLIANCE/CHEIF COMPLIANCE OFFICER/DIRECTOR; SR. VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/DIRECTOR (+1 more) | — |
| YOUHN STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| BAXLEY JOHN DOUGLAS | 1ST VICE PRESIDENT, FIDUCIARY SERVICES, CHIEF COMPLIANCE OFFICER | — |
| SELBERG KYLE RUSSELL | EXECUTIVE VICE PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER/DIRECTOR; SVP, BUS DEV & CHIEF BUS DEV OFFICER/DIRECTOR | — |
| ANDERSON THOMAS JOHN | CHIEF COMPLIANCE OFFICER; FIRST VP, COMPLIANCE/CHIEF COMPLIANCE OFFICER; VP, COMPLIANCE/CHIEF COMPLIANCE OFFICER | — |
| ROLLINS EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | — |
| GUY JAMES EUGENE | DIRECTOR; EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR; FIRST EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR (+1 more) | — |
| SCHWARTZ ERIC | CHAIRMAN OF THE BOARD OF DIRECTORS; CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS; EXECUTIVE CHAIRMAN OF THE BOARD OF DIRECTORS (+3 more) | — |
| DOLLIVE PETER DOMENICO | FIRST VICE PRESIDENT, DUE DILIGENCE/TREASURER; RECAP, DUE DILIENCE AND PRODUCT SERVICES; SR.VICE PRESIDENT/TREASURER (+2 more) | — |
| WEBBER AMY LYNN | CHIEF EXECUTIVE OFFICER, SECRETARY, DIRECTOR; EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR; PRESIDENT/CHIEF EXECUTIVE OFFICER/SECRETARY/DIRECTOR (+3 more) | — |
| BALLARD DAWN MICHELLE | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-09 | regulatory | THE SEC ALLEGED THAT FROM AT LEAST JANUARY 2019 THROUGH THE DATE OF THE ORDER, CIRA AND CIR FAILED TO ADOPT ADEQUATE WRITTEN POLICIES AND PROCEDURES REGARDING THE CONDUCT OF BUSINESS COMMUNICATIONS VIA PERSONAL TEXT MESSAGES ("OFF-CHANNEL COMMUNICATIONS") AND AS A RESULT FAILED TO MAINTAIN AND PRESE… | Final | $10.0M |
| 2022-03-01 | civil | ON MARCH 1, 2021 THE SEC FILED A LAWSUIT IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF IOWA ALLEGING THAT THE FIRM, IN ITS ROLE AS A REGISTERED INVESTMENT ADVISER, FAILED TO DISCLOSE MATERIAL CONFLICTS OF INTEREST AND FAILED TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES R… | Final | $1.8M |
| 2022-03-01 | civil | ON MARCH 1, 2021 THE SEC FILED A LAWSUIT IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF IOWA ALLEGING THAT THE FIRM, IN ITS ROLE AS A REGISTERED INVESTMENT ADVISER, FAILED TO DISCLOSE MATERIAL CONFLICTS OF INTEREST AND FAILED TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES R… | Pending | — |
| 2021-08-30 | regulatory | THE FIRM FAILED TO ADOPT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PROTECT CUSTOMER RECORDS AND INFORMATION, AS REQUIRED BY THE SAFEGUARDS RULE, WHEN CLOUD-BASED EMAIL SERVICES WERE USED BY SOME OF ITS FINANCIAL PROFESSIONALS. | Final | $250K |
| 2019-03-11 | regulatory | IN 2018, CIRA SELF-REPORTED A POTENTIAL BREACH OF FIDUCIARY DUTY RELATING TO MUTUAL FUND SHARES HELD BY CLIENTS WHERE LOWER COST SHARE CLASSES OF THE SAME FUND WERE AVAILABLE. THE SEC DETERMINED THAT CIRA HAD INADEQUATE DISCLOSURES ADDRESSING CONFLICTS OF INTEREST RELATED TO THE RECEIPT OF 12B-1 FEE… | Final | — |
| 2012-03-09 | regulatory | IN AUGUST OF 2011 CIRA SELF-REPORTED THE MISAPPROPRIATION OF FINANCIAL PLANNING FEES BY A FORMER INVESTMENT ADVISOR REPRESENTATIVE (IAR). IN GOOD FAITH CIRA RETURNED THESE MISAPPROPRIATED FUNDS TO THE AFFECTED CLIENTS. AS A RESULT, THE SEC DETERMINED THAT CIRA FAILED TO REASONABLY SUPERVISE THE FORM… | Final | $225K |
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