BB
Brian M. Broberg
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Shrewsbury, PA 17361
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CRD#: 2572950
BB
Professional summary
Brian Markley Broberg is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Shrewsbury, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Shrewsbury, Pennsylvania.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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) BROBERG INVESTMENT GROUP, LLC, SHREWSBURY, PA, FOUNDER OWNER/DBA, 01/17/05, INV REL, 200 HR/MO- 24/TRADING HR. 2) GBS INSURANCE AND FINANCIAL SERVICES, INC. 2005 MARKET STREET, STE 1100, PHILADELPHIA, PA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/02/15, INV REL, 2 HR/MO-1/TRADING HR. 3) OSHER LIFELONG LEARNING INSTITUTE, PENNSYLVANIA STATE UNIVERSITY, YORK CAMPUS 1031 EDGECOMBE AVE, YORK, PA, VOLUNTEER LECTURER, NIR, 09/20/10, 1 HR/MO- 1/TRADING HR. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80/MO-80/TRADING. 03/25/21 5) BETHLEHEM STELTZ REFORMED CHURCH, 5890 Steltz Road, Glen Rock PA 17327, United States, 06/23/2024, Treasurer, Volunteer, NIR, 1 HR/MO- 0/TRADING HR.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Markley Broberg'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
March 24, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 249a South Main St., Shrewsbury, PA 17361RIA
CRD#: 134139
Shrewsbury, PA
Current
March 24, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 249a South Main St., Shrewsbury, PA 17361BD
CRD#: 39543
Shrewsbury, PA
Past
September 20, 2019 - March 31, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SHREWSBURY, PA
Past
April 26, 2006 - March 31, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SHREWSBURY, PA
Past
April 10, 2006 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SHREWSBURY, PA
Past
January 28, 2005 - April 3, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
SHREWSBURY, PA
Past
October 23, 1996 - February 3, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
December 23, 1994 - October 15, 1996
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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
California(3/24/2021)
RR
Delaware(3/29/2021)
RR
Florida(3/25/2021)
RR
Hawaii(3/29/2021)
RR
Kansas(6/25/2024)
RR
Maryland(3/24/2021)
RR
Michigan(5/14/2025)
RR
North Carolina(3/24/2021)
RR
Pennsylvania(3/25/2021)
IAR
Pennsylvania(3/25/2021)
RR
South Carolina(3/24/2021)
RR
Texas(3/24/2021)
IAR
Texas(3/24/2021)
RR
Virginia(3/24/2021)
RR
West Virginia(3/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
