RB
Robert A. Brockland
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
MORGANTON, NC 28655
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CRD#: 2318595
RB
Professional summary
Robert Alfred Brockland is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Morganton, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Morganton, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSUARNCE COMPANIES. 2) WESTERN PIEDMONT HOME BUILDERS ASSOC, PO BOX 14, MORGANTON, NC, BOARD MEMBER OF A NON PUBLIC ENTITY, BOARD MEMBER, NIR, 03/24/20, 2/MO- 0/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 09/04/2013 4) DEN-ROB PROPERTIES LLC / 207 East Union Street, P.O. Box 1786, Morganton NC 28680 / 06/15/2022 / NIR / MANAGING MEMBER / 3 HR/MO - 0 HR/MO TRADING 5) MCGIMPSEY FARM PROPERTY, L.L.C. / Morganton NC 28655 / 06/15/2022 / NIR / MANAGING MEMBER - HOLDS FAMILY FARM / 32 HR/MO - 0 HR/MO TRADING 6) RIVERWOODS LLC / 207 East Union St, P.O. Box 1786, Morganton NC 28680 / 06/15/2022 / NIR / MANAGING MEMBER / 1 HR/MO - 0 HR/MO TRADING 7) ROB BROCKLAND, 100 Silver Creek Rd, Morganton NC 28655, United States, 10/01/2024, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 3/MO - 0/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Robert Alfred Brockland's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 6, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 207 E. Union St. Po Box 1786, Morganton, NC 28655RIA
CRD#: 134139
MORGANTON, NC
Current
September 5, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 207 E. Union Street, Morganton, NC 28655BD
CRD#: 39543
Morganton, NC
Past
February 3, 2010 - May 15, 2013
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
MORGANTON, NC
Past
February 2, 2010 - May 15, 2013
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
MORGANTON, NC
Past
March 18, 2004 - December 8, 2009
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MORGANTON, NC
Past
March 18, 2004 - December 8, 2009
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MORGANTON, NC
Past
January 28, 2002 - March 18, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MORGANTON, NC
Past
January 14, 2002 - March 18, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
July 23, 1999 - December 31, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 20, 1993 - December 31, 1994
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(1/12/2015)
RR
North Carolina(9/5/2013)
IAR
North Carolina(9/6/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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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)
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 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Morganton, NC 28655TRUST BUT VERIFY
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