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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

APRIL D WALLACE

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Birmingham, AL | Northport, AL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Aug 7, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 25, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 25, 2001
First registration: Aug 7, 2001
Dual registered: yes, broker-dealer
Other names: APRIL D. WALLACE
IAPD individual key: 4192977

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jul 22, 2025	n/a	yes	Northport, AL\|Birmingham, AL	Current employment
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	Jul 24, 2025	no	ATLANTA, GA\|Auburn, AL	Previous registration
ARBOR POINT ADVISORS	Former SEC adviser	Oct 2, 2019	Nov 8, 2024	no	AUBURN, AL	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Apr 24, 2018	Oct 24, 2019	no	Auburn, AL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 6, 2015	Oct 24, 2019	no	Auburn, AL	Previous registration
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Dec 20, 2013	Nov 13, 2015	no	AUBURN, AL	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Dec 24, 2013	no	TUSCALOOSA, AL	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	May 5, 2009	Feb 13, 2013	no	TUSCALOOSA, AL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 2, 2008	May 12, 2009	no	TUSCALOOSA, AL	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	May 16, 2005	May 5, 2008	no	TUSCALOOSA, AL\|TUSCALOOSA, AL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 7, 2001	Mar 14, 2005	no	TUSCALOOSA, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC ADVISORY SERVICES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Jul 24, 2025	Jul 22, 2025	-2	Firm change	Ibd to ibd
ARBOR POINT ADVISORS	OSAIC ADVISORY SERVICES, LLC	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
SUMMIT FINANCIAL GROUP INC	ARBOR POINT ADVISORS	Oct 24, 2019	Oct 2, 2019	-22	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	SUMMIT FINANCIAL GROUP INC	Oct 24, 2019	Apr 24, 2018	-548	Firm change after gap	Ibd to ibd
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Nov 13, 2015	Oct 6, 2015	-38	Bulk transfer	Other
RAYMOND JAMES & ASSOCIATES, INC.	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Dec 24, 2013	Dec 20, 2013	-4	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
MORGAN STANLEY & CO. LLC	MORGAN KEEGAN & COMPANY, LLC	May 12, 2009	May 5, 2009	-7	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	MORGAN STANLEY & CO. LLC	May 5, 2008	May 2, 2008	-3	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN KEEGAN & COMPANY, LLC	Mar 14, 2005	May 16, 2005	63	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
109485:165127:AL:2019-10-24	Oct 24, 2019	Oct 2, 2019	AUBURN, AL	Firm change

Relationships

Registered with (10)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Jul 22, 2025 to presentfactForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Nov 8, 2024 to Jul 24, 2025factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Oct 2, 2019 to Nov 8, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Oct 6, 2015 to Oct 24, 2019factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Apr 24, 2018 to Oct 24, 2019factForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 20, 2013 to Nov 13, 2015factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Dec 24, 2013factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
May 5, 2009 to Feb 13, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 2, 2008 to May 12, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 7, 2001 to Mar 14, 2005factForm ADV

Dated events

Occurred
Jul 24, 2025
Advisor changed firm
April D Wallace left Osaic Advisory Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-07-22)
Form ADVobserved 6 days ago