DISCLOSURES

Form CRS, as required by the SEC, is intended to inform retail investors. Cambridge Investment Research, Inc. (“Cambridge”) serves as a Broker/Dealer. Cambridge Investment Research Advisors, Inc (“CIRA”) serves as a registered investment adviser. Because of these dual roles, they provide two CRS forms, along with a supplement, that detail various services, products, types of relationships you may engage with us in, fees/costs, conflicts, roles and duties

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please carefully review this notice to gain an understanding of our operations.

Form ADV 2A is the uniform form used by Registered Investment Advisers to register with both the Securities Exchange Commission (SEC) and state securities authorities. Rep-advisors are required to provide new and prospective clients with a brochure and brochure supplements where information is written in plain English. The Form ADV 2A allows current and prospective clients to evaluate the risks associated with a particular rep-advisor, their business practices, and their investment strategies.

This disclosure provides information regarding the business practices, compensation, and conflicts of interest as they pertain to Cambridge Investment Research, Inc.

These documents are regularly updated, but if you cannot find what you are looking for or come across a broken link, please inform us and we will redirect you and fix the issue. For all current disclosures and additional resources, please visit the main Cambridge disclosures page.