Cambridge Investment Research
What is a broker/dealer–Registered Investment Advisor?
A broker/dealer–RIA is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.
We have chosen to work with Cambridge Investment Research, Inc. as our broker-dealer. As one of the nation's largest privately held independent broker/dealer-RIA and an industry leader, Cambridge has the scale, stability, and resources to help us deliver the solutions our clients need. With a staff of over 700, Cambridge helps approximately 3,000 independent advisors serve their clients and manage total account assets of approximately $85 billion.*
By partnering with Cambridge, we have the independence and freedom to act in your best interest, without any pressure to promote proprietary products or strategies. It's a model that differs from that of some other, larger financial firms whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.
Lastly, stability and independence allows Cambridge to remain strong and growing in a constantly changing financial industry. Cambridge is financially sound, has been consistently profitable for nearly 20 years, and maintains a strong commitment to providing resources and support that help us serve the needs of our investing clients.
*Assets Under Management reflects commission, fee-based, and independent RIA assets