BP
Brandon D. Plattner
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
PEORIA, IL 61614
Some features on this profile are disabled
CRD#: 5039589
BP
Professional summary
Brandon David Plattner, AIF®, who also goes by Brandon Plattner, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Peoria, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fairfield, Iowa.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brandon has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brandon Plattner
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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) PLATTNER ASSET MANAGEMENT / 2001 WEST WILLOW KNOLLS RD PEORIA, IL 61614 / 01/01/2006 / INV / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES / 5 HR/MO - 5 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Brandon David Plattner'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®
Experience
Current
January 29, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2001 W Willow Knols Rd Ste 201a, Peoria, IL 61614RIA
CRD#: 134139
PEORIA, IL
Current
May 28, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757Office #2: 2001 W Willow Knolls Dr. Ste. 201a, Peoria, IL 61614BD
CRD#: 39543
Fairfield, IA
Past
January 29, 2010 - June 22, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
PEORIA, IL
Past
June 1, 2009 - February 3, 2010
MORGAN STANLEY
RIA
CRD#: 149777
PEORIA, IL
Past
June 1, 2009 - February 3, 2010
MORGAN STANLEY
BD
CRD#: 149777
PEORIA, IL
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PEORIA, IL
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PEORIA, IL
Past
March 2, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PEORIA, IL
Past
February 2, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PEORIA, IL
Past
November 29, 2005 - January 18, 2006
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Alabama(5/28/2020)
RR
Alaska(5/28/2020)
RR
Arizona(5/28/2020)
RR
Arkansas(5/28/2020)
RR
California(5/28/2020)
RR
Colorado(5/28/2020)
RR
Connecticut(5/28/2020)
RR
Delaware(5/28/2020)
RR
District of Columbia(5/28/2020)
RR
Florida(5/28/2020)
RR
Georgia(5/28/2020)
RR
Hawaii(5/28/2020)
RR
Idaho(5/28/2020)
IAR
Illinois(1/29/2010)
RR
Illinois(5/28/2020)
RR
Indiana(5/28/2020)
RR
Iowa(5/28/2020)
RR
Kansas(5/28/2020)
RR
Kentucky(5/28/2020)
RR
Louisiana(5/28/2020)
RR
Maine(5/28/2020)
RR
Maryland(5/28/2020)
RR
Massachusetts(5/28/2020)
RR
Michigan(5/28/2020)
RR
Minnesota(5/28/2020)
RR
Mississippi(5/28/2020)
RR
Missouri(5/28/2020)
RR
Montana(5/28/2020)
RR
Nebraska(5/28/2020)
RR
Nevada(5/28/2020)
RR
New Hampshire(5/28/2020)
RR
New Jersey(5/28/2020)
RR
New Mexico(5/28/2020)
RR
New York(5/28/2020)
RR
North Carolina(5/28/2020)
RR
North Dakota(5/28/2020)
RR
Ohio(5/28/2020)
RR
Oklahoma(5/28/2020)
RR
Oregon(5/28/2020)
RR
Pennsylvania(5/28/2020)
RR
Puerto Rico(5/28/2020)
IAR
Puerto Rico(1/7/2025)
RR
Rhode Island(5/28/2020)
RR
South Carolina(5/28/2020)
RR
South Dakota(5/28/2020)
RR
Tennessee(5/28/2020)
IAR
Texas(1/2/2018)
RR
Texas(5/28/2020)
RR
Utah(5/28/2020)
RR
Vermont(5/28/2020)
RR
Virgin Islands(1/3/2023)
IAR
Virgin Islands(1/2/2025)
RR
Virginia(5/28/2020)
RR
Washington(5/28/2020)
RR
West Virginia(5/28/2020)
RR
Wisconsin(5/28/2020)
RR
Wyoming(5/28/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Peoria, IL 61614TRUST BUT VERIFY
Monitor Brandon Plattner
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
