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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

ELAINE ROECKLEIN

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Plantation, FL | Manassas, VA

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Search this name across graphsid dfx:ria:fc3f3431-893e-a885-ce96-de3b379174bc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Oct 15, 2007 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: Jan 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Aug 5, 2005
First registration: Oct 15, 2007
Dual registered: yes, broker-dealer
Other names: ELAINE KLEIN|LANIE MAY
IAPD individual key: 4953322

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	Jan 3, 2022	n/a	yes	Manassas, VA\|Plantation, FL	Current employment
FSC SECURITIES CORPORATION	Former SEC adviser	Jun 11, 2018	Oct 9, 2019	no	SILVER SPRING, MD\|BRUNSWICK, MD	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Jun 7, 2018	Jun 7, 2018	no	BRUNSWICK, MD	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	May 2, 2016	Jun 29, 2018	no	Lutherville, MD	Previous registration
RESEARCH FINANCIAL STRATEGIES	Independent wealth	Oct 25, 2010	May 3, 2016	no	ROCKVILLE, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 23, 2010	Sep 23, 2010	no	ROCKVILLE, MD	Previous registration
QA3 FINANCIAL LLC	n/a	Apr 26, 2010	Sep 9, 2010	no	OMAHA, NE	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 15, 2007	Apr 30, 2010	no	GAITHERSBURG, MD	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
FSC SECURITIES CORPORATION	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Oct 9, 2019	Jan 3, 2022	817	Bulk transfer	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	FSC SECURITIES CORPORATION	Jun 29, 2018	Jun 7, 2018	-22	Firm change	Ibd to ibd
RESEARCH FINANCIAL STRATEGIES	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	May 3, 2016	May 2, 2016	-1	Firm change	Other
LPL FINANCIAL LLC	RESEARCH FINANCIAL STRATEGIES	Sep 23, 2010	Oct 25, 2010	32	Firm change	Other
QA3 FINANCIAL LLC	LPL FINANCIAL LLC	Sep 9, 2010	Sep 23, 2010	14	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	QA3 FINANCIAL LLC	Apr 30, 2010	Apr 26, 2010	-4	Firm change	Other

Relationships

Registered with (6)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
May 2, 2016 to Jun 29, 2018factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 11, 2018 to Oct 9, 2019factForm ADV
→ RESEARCH FINANCIAL STRATEGIESRegistered adviserregistration: previous registration
Oct 25, 2010 to May 3, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 23, 2010 to Sep 23, 2010factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 26, 2010 to Sep 9, 2010factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 15, 2007 to Apr 30, 2010factForm ADV

Dated events

No dated event names this entity yet.