Career
Andrea Shafer has been Senior Vice President, Chief Supervision Officer of Cambridge Investment Research Advisors since December 2019. Andrea Shafer is not listed as a control person, but directly owns under 5% of the firm. Andrea Shafer holds a J.D. from the University of Iowa College of Law.
Cambridge Investment Research Advisors, Inc. is a Fairfield, IA firm with $139B under management, 361,213 clients and 3,496 advisers across 2,340 offices, as of its September 2026 filing.
Andrea Shafer joined Cambridge in 2007. She leads its Advocacy and Supervision Team and serves on its Executive Council.
- – present · 16 years, · Adviser representative · Firm CRD 134139
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Iowa | Approved | 5 January 2010 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 December 2009 |
| Series 24 | General Securities Principal Examination | 30 June 2009 |
| Series 7 | General Securities Representative Examination | 19 February 2009 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Andrea Lynn Shafer
- CRD
- 5448499
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Andrea Shafer work?
Andrea Shafer has been Senior Vice President, Chief Supervision Officer of Cambridge Investment Research Advisors, Inc. since December 2019.
Is Andrea Shafer a financial advisor?
Yes. Andrea Shafer has a current investment-adviser registration in Iowa, through Cambridge Investment Research Advisors since January 2010.
How many years of experience does Andrea Shafer have?
Andrea Shafer has 17 years in the financial industry, since February 2009, across 1 adviser firm.
What exams has Andrea Shafer passed?
Andrea Shafer has passed 5 licensing exams: the Series 7, Series 24, Series 66, Series 14 and Series 99TO. The earliest, the Series 7, was passed in February 2009. FINRA credited Andrea Shafer with the SIE, which began in October 2018.
Leadership at Cambridge Investment Research Advisors
- Amy WebberChief Executive Officer, Secretary, Director
- Colleen BellPresident, Innovation and Experience, Director
- Richard KuhlmanSenior Vice President, Chief Legal Officer
- Seth MillerPresident, Advocacy and Administration, General Counsel, Director
- Tammy RobbinsExecutive Vice President, Chief Business Development Officer
- Carla StoneFirst Vice President, Finance/Chief Accounting Officer
- Jeffrey VivacquaPresident, Growth and Development, Director
- Ryan BoenEVP, Chief Financial Officer
- Stephen YouhnChief Compliance Officer