Bruce Rosenberg

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bruce Rosenberg was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 28, 2018 - July 26, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Des Plaines, IL

Past

March 28, 2018 - July 26, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Des Plaines, IL

Past

June 15, 2015 - March 28, 2018

TSFG, LLC

RIA

CRD#: 172555

OAK BROOK, IL

Past

June 8, 2015 - April 4, 2018

LPL FINANCIAL LLC

BD

CRD#: 6413

OAK BROOK, IL

Past

July 2, 2012 - June 24, 2015

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SCHAUMBURG, IL

Past

June 24, 2011 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SCHAUMBURG, IL

Past

June 24, 2011 - June 12, 2015

FIRST ALLIED SECURITIES, INC.

BD

CRD#: 32444

SCHAUMBURG, IL

Past

March 2, 2006 - June 27, 2011

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCHAUMBURG, IL

Past

February 21, 2006 - July 20, 2007

AFFILIATED ADVISORS, INC.

RIA

CRD#: 131295

SCHAUMBERG, IL

Past

May 13, 2004 - June 27, 2011

OSAIC WEALTH, INC.

BD

CRD#: 23131

SCHAUMBURG, IL

Past

August 19, 2002 - May 21, 2004

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

SCHAUMBURG, IL

Past

August 1, 2002 - May 21, 2004

VOYA FINANCIAL ADVISORS, INC.

BD

CRD#: 2882

WINDSOR, CT

Past

November 23, 2001 - August 13, 2002

PRIME CAPITAL SERVICES, INC.

BD

CRD#: 18334

POUGHKEEPSIE, NY

Past

April 2, 1991 - November 26, 2001

SECURITIES AMERICA, INC.

BD

CRD#: 10205

LAVISTA, NE

Past

October 4, 1989 - April 3, 1991

OAK BROOK SECURITIES CORP.

BD

CRD#: 16886

OAKBROOK TERRACE, IL

Past

May 12, 1988 - October 17, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD

CRD#: 6403

Past

January 26, 1988 - May 24, 1988

FSC SECURITIES CORPORATION

BD

CRD#: 7461

Past

April 30, 1985 - December 26, 1987

RESOURCE DEVELOPMENT INTERNATIONAL, LTD.

BD

CRD#: 8435

Past

December 4, 1984 - May 2, 1985

ROTHSCHILD REGISTRY INTERNATIONAL, INC.

BD

CRD#: 11014

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/28/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/17/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/18/1985

General Securities Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 5/11/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 12/8/1987

General Securities Principal Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

TSFG, LLC

LPL FINANCIAL LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

OSAIC WEALTH, INC.

AFFILIATED ADVISORS, INC.

OSAIC WEALTH, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PRIME CAPITAL SERVICES, INC.

SECURITIES AMERICA, INC.

OAK BROOK SECURITIES CORP.

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

RESOURCE DEVELOPMENT INTERNATIONAL, LTD.

ROTHSCHILD REGISTRY INTERNATIONAL, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2003

Series 63

Date: 6/17/1988

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

Series 22

Date: 5/11/1984

Series 24

Date: 12/8/1987

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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