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Information for Investors

Your need for objective advice drives our independence

In a profession based on objective advice, true independence offers many choices intended to benefit you, the client. Your choice of an independent financial professional is the first step in getting unbiased recommendations and impartial guidance based directly on your needs and goals.

What is an independent financial professional?

Objective advice on achieving your financial goals may be best delivered by an independent financial professional. Your independent financial professional is not an employee of an investment or financial services firm – they are an independent business owner. They have the freedom to structure their business in a manner that best serves their clients. Your independent financial professional utilizes a broker-dealer who provides services that include processing investment business, marketing assistance, practice management, and education. In addition, a 
broker-dealer holds responsibility for regulatory compliance and adherence to securities laws.

What is an independent broker-dealer?

There are many different types of firms for your financial professional to consider in choosing a broker-dealer. You may be familiar with
broker-dealers that are subsidiaries of conglomerates such as commercial banks, investment banks, and investment companies. An independent
broker-dealer is different from such firms because they generally do not underwrite securities, they do not create research, and they do not engage in investment banking.

Why is independence important?

Just as you have the opportunity to choose your financial professional, they in turn choose their independent broker-dealer. We are honored that your financial professional has chosen Cambridge Investment Research, Inc. (Cambridge) as their independent broker-dealer. We believe their choice serves your best interests because we are independently owned and your financial professional has the freedom to offer you objective guidance. This means we do not force them to sell proprietary products or meet any sales quotas. Therefore, your financial professional is not pressured or distracted by corporate interests and can focus on what is best for you and your financial goals.

At Cambridge, we believe in the entrepreneurial spirit of your financial professional. Instead of asking our financial professionals to fit into a mold of how we think they should do business, we empower them with a vast menu of compliance-friendly programs, products, and services. This enables your financial professional to customize an investment strategy designed to meet your unique long-term financial needs.