CRD #39543 · FINRA BrokerCheck + SEC IAPD

Cambridge Investment Research, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cambridge Investment Research, Inc. ranks #317 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #2 of 17 on the same disclosure sort used on the state browse page. Cambridge Investment Research, Inc. carries 19 BrokerCheck disclosures across 2,837 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2,837
branch offices
19
disclosures
#317 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 39543 Cambridge Investment Research, Inc.

Cambridge Investment Research, Inc. · Grade B · 19 disc · 0.01/office · National firm

  • CRD 39543
  • GRADE B
  • DISC 19
  • REG 15
  • ARB 4
  • CIV 0
  • BRANCH 2,837
  • PER-OFF 0.01
  • RANK #317 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Tiaa-Cref Individual & Institutional Services, LLC (0.01 disc/office)

Tiaa-Cref Individual & …0.01MML Investors Services,…0.01Nylife Securities LLC0.01Cambridge Investmen… (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Cambridge Investment Research, Inc. ranks #317 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

2,837 offices

FINRA: Large firm

Total disclosures

19 events

On FINRA BrokerCheck

Regulatory events

15 actions

79% of all disclosures

Disclosures per office

0.01 per office

19 ÷ 2,837 offices

Cambridge Investment Research, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 15
Arbitrations 4
Civil Events 0
Total 19

Counts for Cambridge Investment Research, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 15 Arbitration 4 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Fairfield, IA
CRD Number
39543

Lower disclosures per office

Cambridge Investment Research, Inc. in the heavier-disclosure third

Cambridge Investment Research, Inc. carries 19 BrokerCheck disclosures across 2,837 branch offices - a heavier-third raw book among graded firms (#317 of 20,055). Regulator-initiated events are 79% of the book (15 regulatory / 4 arbitration / 0 civil).

Cambridge Investment Research, Inc. runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Cambridge Investment Research, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Iowa cohort · 3.23× state average

Cambridge Investment Research, Inc. sits above the Iowa disclosure average

Cambridge Investment Research, Inc. reports 19 BrokerCheck disclosures, 3.23× the Iowa average of 5.9 across 17 graded firms with a principal-office state on file.

In Iowa, 5 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Iowa state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Cambridge Investment Research, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cambridge Investment Research, Inc. ranks #317 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #2 of 17 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Cambridge Investment Research, Inc.?
A grade of B reflects Cambridge Investment Research, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 19 total disclosures across 2,837 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Cambridge Investment Research, Inc. have?
Cambridge Investment Research, Inc. has 19 total FINRA disclosures, including 15 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cambridge Investment Research, Inc.?
Cambridge Investment Research, Inc. operates 2,837 branch offices and is classified by FINRA as a large firm, registered in IA (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Cambridge Investment Research, Inc.'s disciplinary record?
You can verify Cambridge Investment Research, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 39543. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Cambridge Investment Research, Inc.'s 19 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Cambridge Investment Research, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Cambridge Investment Research, Inc. carries 19 disclosures across 2,837 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Cambridge Investment Research, Inc., both outside IA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.