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Carla Stone

First Vice President, Finance/Chief Accounting Officer at Cambridge Investment Research Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Carla Stone is First Vice President, Finance/Chief Accounting Officer of Cambridge Investment Research Advisors, Inc., a Fairfield investment adviser managing $139B. Carla Stone has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Cambridge Investment Research Advisors

Title on Schedule A
First Vice President, Finance/Chief Accounting Officer
Control
Carla Stone is not a control person of Cambridge Investment Research Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Carla Stone has held the filed role since March 2020.

The firm

Cambridge Investment Research Advisors, Inc.
Fairfield, IA

Form ADV filed 11 September 2026

$139B AUM361,213 clients3,496 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 7, Series 24 and Series 27 · 2003

Registrations and exams

Broker registration; no current adviser registration. Carla Stone has passed 5 qualifying exams.

Examinations

Series 274 December 2003
Name
Financial and Operations Principal Examination
Series 2430 October 2003
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 71 July 2003
Name
General Securities Representative Examination

Individual record

Full name
Carla Jean Stone
CRD
3193985
Firm
Cambridge Investment Research Advisors, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Carla Stone work?

Carla Stone has been First Vice President, Finance/Chief Accounting Officer of Cambridge Investment Research Advisors, Inc. since March 2020.

Source: Form ADV, Schedule A, filed 11 September 2026

Does Carla Stone have a current investment-adviser registration?

Carla Stone has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Carla Stone passed?

Carla Stone has passed 5 licensing exams: the Series 7, Series 24, Series 27, SIE and Series 99TO. The earliest, the Series 7, was passed in July 2003.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cambridge Investment Research Advisors

  • Amy Webber
    Chief Executive Officer, Secretary, Director
  • Colleen Bell
    President, Innovation and Experience, Director
  • Richard Kuhlman
    Senior Vice President, Chief Legal Officer
  • Seth Miller
    President, Advocacy and Administration, General Counsel, Director
  • Tammy Robbins
    Executive Vice President, Chief Business Development Officer
  • Andrea Shafer
    Senior Vice President, Chief Supervision Officer
  • Jeffrey Vivacqua
    President, Growth and Development, Director
  • Ryan Boen
    EVP, Chief Financial Officer
  • Stephen Youhn
    Chief Compliance Officer

Sources

  1. IAPD individual record, CRD 3193985. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cambridge Investment Research Advisors, Inc., filed 11 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Carla Stone or Cambridge Investment Research Advisors, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.