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Revision as of 17:13, 26 August 2017 by WikiEditCrunch (talk | contribs) (→Investments)(diff) ← Previous revision | Latest revision (diff) | Newer revision → (diff)| Company type | Private |
|---|---|
| Industry | Financial services |
| Founded | 1981; 44 years ago (1981) |
| Founder | Eric Schwartz |
| Headquarters | Fairfield, Iowa, United States |
| Key people | Eric Schwartz (Chairman) Amy Lynn Webber (CEO & President) |
| Products | Broker-dealer services Asset management |
| AUM | US$67.7 billion (2014) |
| Parent | Cambridge Investment Group |
| Website | www |
Cambridge Investment Research Incorporation, founded in 1981, is an independent financial services company. The company mainly works as a broker-dealer but also manages investment assets through its subsidary Cambridge Investment Research Advisors Inc. It is one of the largest independent broker-dealers in the United States.
As of January 2017 its CEO is Amy Webber, who is also a member of the FINRA Board of Governors.
History
Cambridge Investment Research was founded in 1981 by Eric Schwartz.The company is privately controlled and is a member of FINRA/SIPC..
As a broker-dealer it operates in 52 national U.S states and territories. The company operates as a subsidary of the Cambridge Investment Group. Its Cambridge Investment Research Advisors subsidary invests mainly in stock corporations in the United States and Europe.
In April 2016, the SEC charged Cambridge Investment Research Advisors with failing to adequately supervise an employee who defrauded at least 47 advisory clients and engaged in unsuitable trading in some clients’ accounts. The company settled the case by paying a $225,000 penalty.
Investments
According to the companies Q2 SEC filing in of 2017, the companies investments include :
| Company | Class | Number of shares | Value (in US-Dollar) |
|---|---|---|---|
| Accenture plc | Class A | 34,589 | US$4.27 million |
| Deutsche Bank AG | Aktie | 11,065 | US$197.000 |
| Allergan plc | Class A | 12,964 | US$3.15 million |
| Raytheon | Common Stock | 37,407 | US$6.04 million |
| Goldman Sachs | Common Stock | 7,463 | US$1.65 million |
| Altaba Inc. | Common Stock | 22,831 | US$1.24 million |
| Alphabet Inc. | Class A | 22,942 | US$21.32 million |
| Alphabet Inc. | Class C | 22,480 | US$20.42 million |
| GoPro | Class A | 10,287 | US$84.000 |
| Hospital Corporation Of America | Common Stock | 5,687 | US$496.000 |
| General Electric | Common Stock | 1,435,534 | US$38.77 million |
| Class A | 286,576 | US$43.26 million | |
| FS Investment Corporation | Common Stock | 2,349,346 | US$21.49 million |
| ExxonMobil | Common Stock | 643,760 | US$51.97 million |
| Rio Tinto Group | ADR | 11,821 | US$500.000 |
| Brown Forman | Class B | 7,914 | US$385.000 |
| Chevron | Common Stock | 223,048 | US$23.27 million |
Data may change after filing.
Notes
- A footnote for the investment data.
References
- "Cambridge Investment Research, Inc.: Private Company Information - Bloomberg". www.bloomberg.com.
- http://www.fa-mag.com/userfiles/2015_FA_Issues/April_2015/BrokerDealer_Survey/BD2015Ranking_print1.pdf
- "Cambridge Named 2013 Broker-Dealer of the Year". www.businesswire.com.
- "Amy Webber to replace Eric Schwartz as CEO of Cambridge Investment Research - Blue Vault". bluevaultpartners.com.
- Kelly, Bruce. "Amy Webber to replace Eric Schwartz as CEO of Cambridge Investment Research". www.investmentnews.com.
- "FINRA elects new officers to its Board of Governors - Financial Regulation News". 25 August 2017.
- "Cambridge Announces New Fiduciary Services Department". www.businesswire.com.
- "Cambridge Investment Research, Inc. - NAPA Net".
- "Cambridge Investment Research Named Broker-Dealer of the Year". 10 September 2014.
- "BrokerCheck - Find a broker, investment or financial advisor". brokercheck.finra.org.
- https://www.homebaseiowa.gov/business/cambridge-investment-reseach-inc
- Maxey, Daisy (19 October 2010). "Wealth Adviser Rides Alone, Proudly" – via www.wsj.com.
- 13 (25 August 2017). "Cambridge Investment Research Advisors Has Lowered By $433,080 Its Clorox Co Del (CLX) Stake; Shorts at TG Therapeutics (TGTX) Lowered By 3.18% - Wolcott Daily".
{{cite web}}:|last=has numeric name (help) - Steele, David (25 August 2017). "Fifth Street Senior Floating Rate Corp. (FSFR) Stock Rating Upgraded by Zacks Investment Research".
- http://www.nasdaq.com/quotes/institutional-portfolio/cambridge-investment-research-advisors-inc-770672
- ^ 10 (22 August 2017). "Cambridge Investment Research Advisors Has Raised Its Verizon Communications (VZ) Position; Sonoco Products Co (SON) Sentiment Is 0.87 - Norman Observer".
{{cite web}}:|last=has numeric name (help) - CFP, Danielle Howard,. "You could lose the ability to manage your finances and not know it".
{{cite web}}: CS1 maint: extra punctuation (link) CS1 maint: multiple names: authors list (link) - Larkin, Josh (9 August 2017). "Cambridge Investment Research Advisors Inc. Boosts Stake in Thermo Fisher Scientific Inc (NYSE:TMO)".
- Guadardo, Samantha (25 August 2017). "BlackRock Municipal Income Trust II (BLE) Sees Significant Drop in Short Interest".
- 4 (24 August 2017). "Martin Marietta (MLM) Stock Value Rose While Cambridge Investment Research Advisors Decreased Holding by $746,096; Seagate Technology Plc (STX) Share Price Declined While Rbf Capital Has Upped Its Holding - Flint Daily".
{{cite web}}:|last=has numeric name (help) - https://www.sec.gov/litigation/admin/2016/ia-4361-s.pdf
- "SEC FORM 13-F Information Table". www.sec.gov.
- Note.
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