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CFP
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CFP

Mark Srofe

Cambridge Investment Research Advisors, INC.
38 Years of Experience
Villa Hills, KY
2 DisclosuresBrokerSells Insurance
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Mark Srofe is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Villa Hills, KY, with 38 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Villa Hills, KY

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2002
Settled
Customer Dispute
November 1996
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is an advisory representative of an RIA, spending full-time hours in this role. He is also a financial advisor and an independent insurance agent for various companies, dedicating about a quarter of his time to each of these roles.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
March 2024 - Present · 2 yrs 7 mos
Cambridge Investment Research, INC.
March 2024 - Present · 2 yrs 7 mos
Cambridge Investment Research, INC.Broker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Crown Capital Securities, L.P.
June 2007 - March 2024 · 16 yrs 9 mos
Crown Capital Securities, L.P.Broker
June 2007 - March 2024 · 16 yrs 9 mos
L.M. Kohn & Company
April 2006 - February 2007 · 10 mos
L.M. Kohn & CompanyBroker
April 2006 - February 2007 · 10 mos
Equity Analysts INC.
September 2002 - March 2006 · 3 yrs 6 mos
Equity Analysts INC.Broker
August 2002 - March 2006 · 3 yrs 7 mos
Charles Schwab & CO., INC.Broker
March 1996 - September 2002 · 6 yrs 6 mos
Fifth Third Securities, INC.Broker
August 1995 - March 1996 · 7 mos
Fidelity Brokerage Services, INC.Broker
December 1987 - August 1995 · 7 yrs 8 mos
State Registrations4 states
FLKYMEOH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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