Category: Cambridge Investment Research

Broker’s Background   Shuai Wang (CRD #: 4725754) is registered with Cambridge Investment Research, Inc. He is located in San Jose, CA. Wang’s past employers include Northwestern Mutual Investment Services, LLC, OneAmerica Securities, Inc. and Cambridge Investment Research Advisors, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly […]

Brian Lee Culver (CRD#: 6392736) is a registered broker and investment advisor with Cambridge Investment Research, Inc. in Kalamazoo, MI.   Broker’s History He entered the securities industry in 2015 and has worked with Cambridge Investment research Inc.,   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Simone Alfredo Giuseppe Garofalo (CRD#: 7025823) was a previously registered broker. Broker’s History He entered the securities industry in 2018 and previously worked with Cambridge International Securities, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September of 2024, without admitting or denying the findings, Garofalo […]

Former Financial Advisor Gregory Corrie Barred by FINRA Gregory Alan Corrie (CRD: 1982814) was a previously registered broker. Broker’s History He entered the securities industry in 1992 and previously worked with The Lincoln National Life Insurance Company; Lincoln Financial Advisors Corporation; Intersecurities, Inc.; Cetera Advisor Networks, LLC; Invest Financial Corporation; Cetera Advisors, LLC; and Cambridge […]

Brian K. Jones (CRD#: 4203098) is a registered broker and financial advisor with Cambridge Investment Research, Inc. in Pilot Grove, IA.   Broker’s Background He entered the securities industry in 2000 and previously worked with IDS Life Insurance Company; American Express Financial Advisors, Inc.; Amcore Investment Services, Inc.; Cybus Capital Markets, LLC; First National Capital […]

Kurt Cambier (CRD#: 1392482) is a registered broker and investment advisor at Cambridge Investment Research, Inc. in Littleton, CO. Broker’s Background He entered the securities industry in 1986 and previously worked for Multi-Financial Securities Corporation; MML Investors Services, Inc.; G.R. Phelps & Co., Inc.; Amev Investors, Inc.; Pruco Securities Corporation. Current and Past Allegations of […]

Archie Blood (CRD#: 1861277) is a previously registered Broker and an Investment Adviser. Broker’s Background He entered the securities industry in 1988 and previously worked for Cambridge Investment Research, Inc.; CFD Investments, Inc.; Mutual Service Corporation; and Lowry Financial Services Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available […]

Dale Wright (CRD#: 1142615) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1983 and previously worked for Cambridge Investment Research, Inc.; Sanders Morris Harris, Inc.; QA3 Financial Corp.; National Planning Corporation; Centennial Capital Management, Inc.; and First American National Securities, Inc. Current And Past Allegations […]

David Melilli (CRD#: 5254172) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 2006 and previously worked for Cambridge Investment Research, Inc.; LPL Financial, LLC; Sagepoint Financial, Inc.; Janney Montgomery Scott, LLC; Morgan Stanley & Co., Inc.; and Lincoln Financial Advisors Corp.   Current And […]

Stewart Schram (CRD#: 1711571) was a Financial Advisor at Cambridge Investment Research, Inc., in Buffalo Grove, IL. He entered the securities industry in 1991 and previously worked for Freedom Investors Corp., and Kingsbury Capital, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, FINRA sanctioned Stewart Schram, […]