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Detailed Report
MARK STEVEN KAUFMAN
CRD#: 6282366
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 4305 N Garfield St.
Ste. 252
Midland, TX 79705
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 4305 N Garfield St.
Ste. 252
MIDLAND, TX 79705
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 1/2/2020
B
New Mexico 1/2/2020
B
Arizona 1/2/2020
B
Oklahoma 1/2/2020
B
Colorado 8/30/2019
B
Pennsylvania 1/2/2020
B
Florida 1/2/2020
B
South Carolina 9/4/2020
B
Georgia 1/2/2020
B
Texas 6/26/2018
B
Kentucky 1/2/2020
IA
Texas 6/26/2018
B
Michigan 1/2/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
4305 N Garfield St. Ste. 252, Midland, TX 79705
Registered with this firm since 6/26/2018
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
4305 N Garfield St. Ste. 252, MIDLAND, TX 79705
Registered with this firm since 6/26/2018
Previous Registration(s)
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IA
 05/03/2016 - 06/19/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIDLAND, TX
B
 05/03/2016 - 06/19/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIDLAND, TX
IA
 10/21/2015 - 04/08/2016 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) LAKEWOOD, CO
B
 10/21/2015 - 04/08/2016 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) LAKEWOOD, CO
IA
 06/02/2014 - 09/03/2015 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) MIDLAND, TX
B
 03/10/2014 - 09/03/2015 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) MIDLAND, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.