DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Roger Joel Conde

Cambridge Investment Research Advisors, Inc.BD affiliatedHermosa Beach, Ca dual registrantIAPD 2477484

Feed of 09/15/2026

At current firm

4 y

since Mar 30, 2022

In the industry

32 y

since Jun 9, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cambridge Investment Research Advisors, Inc. BD affiliated current
since Mar 30, 2022 · Hermosa Beach, Ca
Founders Financial Securities, LLC independent RIA
Oct 31, 2019 to Mar 30, 2022 · Towson, Md
Ira Wealth Management unclassified
Jan 17, 2014 to Jul 3, 2019 · El Segundo, Ca
First Allied Advisory Services, Inc. former
Jul 18, 2013 to Oct 31, 2019 · El Segundo, Ca
Financial Counseling Resources LLC former
Sep 22, 2011 to Jul 25, 2013 · Santa Ana, Ca
Pacific Retirement Advisors, Inc unclassified
Feb 5, 2009 to Dec 31, 2015 · El Segundo, Ca
Npb Financial Group, LLC former
Apr 1, 2008 to Jul 18, 2013 · Manhattan Beach, Ca
J P Turner & Company Capital Management, LLC former
Sep 10, 2007 to Apr 2, 2008 · El Segundo, Ca
Next Financial Group, Inc. former
Nov 3, 2005 to Apr 16, 2007 · El Segundo, Ca
Ira Wealth Management unclassified
Sep 22, 2005 to Nov 1, 2005 · El Segundo, Ca
Penniall & Associates, Inc. unclassified
Jul 15, 2002 to Sep 12, 2005 · Pasadena, Ca
Sunamerica Securities, Inc. unclassified
Aug 8, 2001 to Aug 1, 2002 · El Segundo, Ca

Moves

a registration end followed by a registration begin elsewhere

Founders Financial Securities, LLC to Cambridge Investment Research Advisors, Inc.
left Mar 30, 2022, registered Mar 30, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
First Allied Advisory Services, Inc. to Ira Wealth Management
left Oct 31, 2019, registered Jan 17, 2014 (-2113 days) · Other
Ira Wealth Management to Founders Financial Securities, LLC
left Jul 3, 2019, registered Oct 31, 2019 (120 days) · Other
Pacific Retirement Advisors, Inc to Financial Counseling Resources LLC
left Dec 31, 2015, registered Sep 22, 2011 (-1561 days) · Other
Financial Counseling Resources LLC to First Allied Advisory Services, Inc.
left Jul 25, 2013, registered Jul 18, 2013 (-7 days) · Other
Npb Financial Group, LLC to Pacific Retirement Advisors, Inc
left Jul 18, 2013, registered Feb 5, 2009 (-1624 days) · Other
J P Turner & Company Capital Management, LLC to Npb Financial Group, LLC
left Apr 2, 2008, registered Apr 1, 2008 (-1 days) · Other
Next Financial Group, Inc. to J P Turner & Company Capital Management, LLC
left Apr 16, 2007, registered Sep 10, 2007 (147 days) · Other
Ira Wealth Management to Next Financial Group, Inc.
left Nov 1, 2005, registered Nov 3, 2005 (2 days) · Other
Penniall & Associates, Inc. to Ira Wealth Management
left Sep 12, 2005, registered Sep 22, 2005 (10 days) · Other
Sunamerica Securities, Inc. to Penniall & Associates, Inc.
left Aug 1, 2002, registered Jul 15, 2002 (-17 days) · Other

Signals

Roger Joel Conde left Founders Financial Securities, Llc for Cambridge Investment Research Advisors, Inc. (registered 2022-03-30)
Mar 30, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address