Our Broker-Dealer

Just as you have the opportunity to choose your financial professional, we in turn can choose our independent broker-dealer. As an independent financial firm, we are not an employee of an investment or financial services firm – we are independent business owners. Therefore, we are not pressured or distracted by corporate interests and can focus on what is best for you and your financial goals. We are proud that our values are shared with our broker-dealer, Cambridge Investment Research, Inc. (Cambridge). Together, we focus on a common priority – you.

As one of the most respected and largest privately held independent broker-dealers in the industry, Cambridge is owned entirely by its management and financial professionals. Their executive leadership has spent over 15 years consciously building a legal structure, business plan, and a superior management team with the goal of remaining privately owned. Cambridge has continually put the objectivity of independent financial professionals first to ensure the long-term success of the financial services industry, financial professionals, and clients. Objective advice on achieving your financial goals may be best delivered by an independent financial professional.

Cambridge, member FINRA/SIPC, remains strong and growing – thanks to their conservative financial strategy and the disciplined efforts of financial professionals in their independent practices. Cambridge has been ranked a fee leader among independent broker-dealers for 12 consecutive years(1) and is a five-time honoree in the Broker/Dealer of the Year annual poll(2). Cambridge’s overall finances and longer-term outlook are good, they have been consistently profitable for more than a decade, and carry relatively low debt. In contrast to recent industry trends, they continue to hire additional staff to serve the needs of the growing number of financial professionals choosing Cambridge to support their independent practices.



1. Financial Planning magazine, June “FP50”, 2001-2012

2. Investment Advisor magazine, 2012, 2010, 2008, 2007 Division IV; 2003 Division III. A broker-dealer becomes eligible for this honor only after a minimum of 10% of its producing rep-advisors cast valid ballots. The ballots rate the broker-dealer in 15 different categories defined by Investment Advisor as relevant challenges and concerns. Broker-dealers receiving the highest marks in each of four divisions are declared Broker/Dealer of the Year. Results are based on experiences and perceptions of participants surveyed in June of each of the five years listed. Experience may vary. Visit http://www.advisorone.com.

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Capital Securities of Texas