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Disclosures & Disclaimers

We embrace transparency of information that may help our clients (and prospective clients) make informed decisions. For your convenience, below are links to all of our disclosures. Please do keep in mind that not all disclosures pertain to all client relationships. This will depend on the particular services, accounts or products that you choose to engage us for. We'll tell you which items pertain to you, as needed, but don't hesitate to ask us for clarification at any time.  

CRS Forms - Customer Relationship Summaries

Form CRS, as required by the SEC, is intended to inform retail investors. Cambridge Investment Research, Inc. ("Cambridge") serves as a Broker/Dealer. Cambridge Investment Research Advisors, Inc ("CIRA") serves as a registered investment adviser. Because of these dual roles, they provide two CRS forms, along with a supplement, that detail various services, products, types of relationships you may engage with us in, fees/costs, conflicts, roles and duties.

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Privacy Policy

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

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Part 2A of the Form ADV for Cambridge’s RIA

Form ADV 2A is the uniform form used by Registered Investment Advisers to register with both the Securities Exchange Commission (SEC) and state securities authorities. Rep-advisors are required to provide new and prospective clients with a brochure and brochure supplements where information is written in plain English. The Form ADV 2A allows current and prospective clients to evaluate the risks associated with a particular rep-advisor, their business practices, and their investment strategies.

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ADV Part 2B for Karen Melo Ticas, CFP®

This Brochure Supplement provides information about Karen Melo Ticas that is an accompaniment to the Disclosure Brochures and Forms CRS for our firm, Cambridge Investment Research Advisors, Inc (CIRA) and affiliated broker-dealer, Cambridge Investment Research, Inc. (CIR). 

Here you will find information such as:

  • Educational Background and Business Experience
  • Professional Designations
  • Disciplinary Information
  • Other Business Activities
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ADV Part 2B for Kristen Heller, CSRIC®

This Brochure Supplement provides information about Kristen Heller that is an accompaniment to the Disclosure Brochures and Forms CRS for our firm, Cambridge Investment Research Advisors, Inc (CIRA) and affiliated broker-dealer, Cambridge Investment Research, Inc. (CIR). 

Here you will find information such as:

  • Educational Background and Business Experience
  • Professional Designations
  • Disciplinary Information
  • Other Business Activities
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ADV Part 2B for Peggy Haslach, CFP®,CLU®

This Brochure Supplement provides information about Margaret "Peggy" Haslach that is an accompaniment to the Disclosure Brochures and Forms CRS for our firm, Cambridge Investment Research Advisors, Inc (CIRA) and affiliated broker-dealer, Cambridge Investment Research, Inc. (CIR). 

Here you will find information such as:

  • Educational Background and Business Experience
  • Professional Designations
  • Disciplinary Information
  • Other Business Activities
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Regulation Best Interest Disclosure (Reg. BI)

The purpose of this disclosure is to provide information regarding the business practices, compensation, and conflicts of interest as they pertain to Cambridge Investment Research, Inc. 

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Additional Disclosures from Cambridge Advisors

Updates happen on a regular basis. Didn't find the particular document you're looking for? Or did you by chance come across a broken link above? (First, please kindly let us know and we'll redirect you and fix the link!) Secondly, you'll find the main Cambridge disclosures page here with all of the most current disclosures and additional resources. 

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General Disclaimers

We provide this website content for information about our services, for additional resources, and to provide general education. We do not provide legal or tax advice, and this website is not intended to provide any personalized recommendations of any kind. Please consult with the appropriate advisors who know your personal circumstances before implementing any strategies we may highlight here.

Any links provided to other websites or third parties are strictly for your convenience or just for fun! Please do not construe links as being sponsored or affiliated.  We are not responsible for the content on other sites or how they may use your information.

Please note that the content on this website is copyright protected. That includes all images, text, and design. Content may not be reproduced, modified, distributed, or stored for anything other than personal, noncommercial use.