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Cambridge Names Shafer First Vice President of Legal and Alvarez Chief Compliance Officer

FAIRFIELD, IA – October 16, 2018 – Cambridge is pleased to announce the promotion of two home office associates. Andrea Shafer has been named first vice president of Legal and Meaghan Alvarez has been named vice president of Compliance and Chief Compliance Officer (CCO). Shafer had previously been serving as interim CCO and will be passing the responsibilities over to Alvarez as she transitions into this new role. Shafer will focus her efforts on leading three separate teams.

Shafer joined Cambridge in 2007 and has more than 10 years of experience in the financial services industry. In her new role, Shafer will continue to lead the Disclosures and Dispute Resolution and Regulatory Affairs Teams, and will assume oversight of the Advocacy & Supervision Team. Additionally, Shafer is highly involved in the firm’s regulatory matters and serves as a member of the Cambridge Investment Committee. She earned a Bachelor of Arts degree in political science and international relations from Wartburg College and a Juris Doctor degree from the University of Iowa College of Law. She holds the FINRA Series 7, 24, and 66 licenses, the Accredited Investment Fiduciary® (AIF®) designation, and is a graduate of Cambridge’s Continuous Improvement Embedded Leaders program.

Alvarez joined Cambridge in 2015 and has more than 10 years of experience in the financial services industry. In her new role, Alvarez will provide oversight for the firm’s Compliance department, including the Registration and Licensing, Audit, Surveillance, Anti-money Laundering, and Advertising Review Teams. She will also review various operational activities across the firm to ensure compliance with regulatory requirements. Alvarez earned a Bachelor of Arts degree in economics from the University of California, Los Angeles and a certificate in leadership training for managers from the Dale Carnegie Management Training Program. Additionally, she is Lean Six Sigma Yellow Belt certified and holds the FINRA Series 4, 7, 24, 53, and 66 licenses.

About Cambridge
Cambridge Investment Group, Inc. is a privately-controlled financial solutions firm focused on serving independent financial advisors and their investing clients. Cambridge offers a broad range of choices regarding advisor-focused financial solutions: advice solutions, technology solutions, platform choice and business structure solutions, consulting solutions, and outsourcing solutions. Cambridge’s national reach includes: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent broker-dealers in the country.

For more information contact:

Cindy Schaus (cindy.schaus@cir2.com) – First Vice President, Public Relations and Creative Marketing,
641-470-1225

Nick Mitchell (nick.mitchell@cir2.com) – Account Executive, Public Relations and Creative Marketing,
800-777-6080 x1677

Morgan Von Ahsen (morgan.vonahsen@cir2.com) – Senior Director, Public Relations and Creative Marketing,
641-470-1166

Securities offered through Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC, and investment advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge Investment Group, Inc.

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