CAMBRIDGE INVESTMENT RESEARCH, INC.
Legal name: CAMBRIDGE INVESTMENT RESERARCH, INC.
CRD #39543 SEC #801-51411 FAIRFIELD, IA 641-472-5100
SEC Registered Broker-Dealer
Total AUM
$450.5M
Discretionary
$348M
Employees
51
Clients
101
Accounts
3,212
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT-FINANCE/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT-FINANCE/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT-FINANCE/FINOP | NA | |
| BALLARD, DAWN MICHELLE | I | VICE PRESIDENT, FINANCE & ACCOUNTING/FINOP | NA | |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| DOLLIVE, PETER DOMENICO | I | SR.VICE PRESIDENT/TREASURER | NA | Control |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/CROP/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, ADMINISTRATION/CROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, ADMINISTRATION/CROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | DIRECTOR OF OFFICE ADMINISTRATION/SROP/CROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | DIRECTOR OF OFFICE ADMINISTRATION/SROP/CROP/ROP/MSRBP | NA | |
| FISCHER, CAROL LYNN | I | VICE PRESIDENT, OFFICE ADMINISTRATION/SROP/ROP/MSRBP | NA | |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/BUSINESS DEVELOPMENT | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/BUSINESS DEVELOPMENT | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/BUSINESS DEVELOPMENT | NA | Control |
| GUY, JAMES EUGENE | I | EXEC VICE PRESIDENT/CHIEF MARKETING OFFICER | NA | Control |
| HOLTZ, LOUISE DOROTHY | I | VICE PRESIDENT/DIR OF TRADING-OPERATIONS/SROP/ROP/CROP/ASS'T DIR COMPLIANCE | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | DIRECTOR OF COMPLIANCE - ADMINISTRATIVE DIVISION | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| KASHAN, MARION A | I | DIRECTOR OF COMPLIANCE - ADMINISTRATIVE DIVISION | NA | |
| KASHAN, MARION A | I | VICE PRESIDENT, COMPLIANCE | NA | |
| LISTER, TERRY LEE | I | EXEC. VICE PRESIDENT/SEC'Y/GENERAL COUNSEL/DIR OF COMPLIANCE | NA | Control |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| LYLE, TIMOTHY JAMES | I | SR.VICE PRESIDENT, COMPLIANCE/CHIEF COMPLIANCE OFFICER/CROP | NA | |
| MARTIN, MARCIA LYNN | I | SR. VICE PRESIDENT, COMPLIANCE/CCO/DIRECTOR | NA | Control |
| MARTIN, MARCIA LYNN | I | SR. VICE PRESIDENT, COMPLIANCE/CCO/DIRECTOR | NA | Control |
| MILLS, JAMES MATTHEW | I | ASS'T VICE PRESIDENT, TRADING & OPERATIONS/SROP/ROP | NA | |
| MILLS, JAMES MATTHEW | I | ASS'T VICE PRESIDENT, TRADING & OPERATIONS/SROP/ROP | NA | |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| SCHWARTZ, ERIC | I | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VP/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/COO | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER | NA | Control |
| WEBBER, AMY LYNN | I | EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y | NA | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
| CAMBRIDGE INVESTMENT GROUP, INC. | DE | SHAREHOLDER/HOLDING COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
| SCHWARTZ, ERIC | I | CAMBRIDGE INVESTMENT GROUP, INC. | E | Control |
Registrations
Federal
IA
Mar 28, 2002 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
56 E. BURLINGTON AVENUEFAIRFIELD, IA 52556
USA
Phone: 641-472-5100