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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

ROGER JOEL CONDE

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Hermosa Beach, CA | Manhattan Beach, CA

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Search this name across graphsid dfx:ria:f232bf03-b545-38fb-b976-212aa26e7a9f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Aug 8, 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: Jun 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jun 9, 1994
First registration: Aug 8, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2477484

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	Mar 30, 2022	n/a	yes	Hermosa Beach, CA\|Manhattan Beach, CA	Current employment
FOUNDERS FINANCIAL SECURITIES, LLC	Independent wealth	Oct 31, 2019	Mar 30, 2022	no	TOWSON, MD\|Manhattan Beach, CA\|El Segundo, CA	Previous registration
IRA WEALTH MANAGEMENT	n/a	Jan 17, 2014	Jul 3, 2019	no	EL SEGUNDO, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 18, 2013	Oct 31, 2019	no	EL SEGUNDO, CA\|MAHATTAN BEACH, CA\|EL SEGUNDO, CA	Previous registration
FINANCIAL COUNSELING RESOURCES LLC	Former SEC adviser	Sep 22, 2011	Jul 25, 2013	no	SANTA ANA, CA	Previous registration
PACIFIC RETIREMENT ADVISORS, INC	n/a	Feb 5, 2009	Dec 31, 2015	no	EL SEGUNDO, CA	Previous registration
NPB FINANCIAL GROUP, LLC	Former SEC adviser	Apr 1, 2008	Jul 18, 2013	no	MANHATTAN BEACH, CA\|SAN JUAN CAPISTRANO, CA	Previous registration
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Sep 10, 2007	Apr 2, 2008	no	EL SEGUNDO, CA	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Nov 3, 2005	Apr 16, 2007	no	EL SEGUNDO, CA\|EL SEGUNDO, CA	Previous registration
IRA WEALTH MANAGEMENT	n/a	Sep 22, 2005	Nov 1, 2005	no	EL SEGUNDO, CA	Previous registration
PENNIALL & ASSOCIATES, INC.	n/a	Jul 15, 2002	Sep 12, 2005	no	PASADENA, CA	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Aug 8, 2001	Aug 1, 2002	no	EL SEGUNDO, CA	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
FOUNDERS FINANCIAL SECURITIES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Mar 30, 2022	Mar 30, 2022	0	Firm change	RIA to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	IRA WEALTH MANAGEMENT	Oct 31, 2019	Jan 17, 2014	-2,113	Firm change after gap	Other
IRA WEALTH MANAGEMENT	FOUNDERS FINANCIAL SECURITIES, LLC	Jul 3, 2019	Oct 31, 2019	120	Firm change	Other
PACIFIC RETIREMENT ADVISORS, INC	FINANCIAL COUNSELING RESOURCES LLC	Dec 31, 2015	Sep 22, 2011	-1,561	Firm change after gap	Other
FINANCIAL COUNSELING RESOURCES LLC	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 25, 2013	Jul 18, 2013	-7	Firm change	Other
NPB FINANCIAL GROUP, LLC	PACIFIC RETIREMENT ADVISORS, INC	Jul 18, 2013	Feb 5, 2009	-1,624	Firm change after gap	Other
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	NPB FINANCIAL GROUP, LLC	Apr 2, 2008	Apr 1, 2008	-1	Firm change	Other
NEXT FINANCIAL GROUP, INC.	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Apr 16, 2007	Sep 10, 2007	147	Firm change	Other
IRA WEALTH MANAGEMENT	NEXT FINANCIAL GROUP, INC.	Nov 1, 2005	Nov 3, 2005	2	Firm change	Other
PENNIALL & ASSOCIATES, INC.	IRA WEALTH MANAGEMENT	Sep 12, 2005	Sep 22, 2005	10	Firm change	Other
SUNAMERICA SECURITIES, INC.	PENNIALL & ASSOCIATES, INC.	Aug 1, 2002	Jul 15, 2002	-17	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
137945:134139:CA:2022-03-30	Mar 30, 2022	Mar 30, 2022	EL SEGUNDO, CA	Firm change

Relationships

Registered with (11)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Mar 30, 2022 to presentfactForm ADV
→ FOUNDERS FINANCIAL SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 31, 2019 to Mar 30, 2022factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 18, 2013 to Oct 31, 2019factForm ADV
→ IRA WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 17, 2014 to Jul 3, 2019factForm ADV
→ PACIFIC RETIREMENT ADVISORS, INCRegistered adviserregistration: previous registration
Feb 5, 2009 to Dec 31, 2015factForm ADV
→ FINANCIAL COUNSELING RESOURCES LLCRegistered adviserregistration: previous registration
Sep 22, 2011 to Jul 25, 2013factForm ADV
→ NPB FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Apr 1, 2008 to Jul 18, 2013factForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 10, 2007 to Apr 2, 2008factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Nov 3, 2005 to Apr 16, 2007factForm ADV
→ PENNIALL & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jul 15, 2002 to Sep 12, 2005factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Aug 8, 2001 to Aug 1, 2002factForm ADV

Dated events

Occurred
Mar 30, 2022
Advisor changed firm
Roger Joel Conde left Founders Financial Securities, Llc for Cambridge Investment Research Advisors, Inc. (registered 2022-03-30)
Form ADVobserved 4 days ago