FAIRFIELD, IA – April 7, 2026 — Cambridge Investment Research, Inc. (“Cambridge”), a leading independent financial solutions firm, today announced the additions of Alexis Schumann and Gwen Weithaus as Vice Presidents in the firm’s compliance department. Both Schumann and Weithaus will provide compliance leadership across the firm’s broker-dealer and RIA functions, serving as trusted resources for all areas of compliance. In their roles, they will partner closely with business leaders to strengthen Cambridge’s compliance framework, providing practical and risk-based guidance to support the firm’s growth.

Schumann joins Cambridge with more than 20 years of experience in compliance, risk management, and regulatory strategy. She previously served as the Chief Compliance Officer and Executive Director at Atria Wealth / Cadaret Grant prior to its acquisition. In this capacity, she directed the firm’s compliance function. Schumann also spent more than 10 years in senior compliance leadership roles at Osaic predecessor firms, where she oversaw technology compliance and risk management and served as the Chief Regulatory Officer. She has also held positions with Voya and Vanguard. Schumann earned a bachelor’s degree from Arizona State University and holds FINRA Series 7, 24, and 66 licenses in addition to the Certified Cryptocurrency Expert certification from the Blockchain Council.

Weithaus joins Cambridge with more than 20 years of compliance and regulatory leadership experience. Most recently, she served as Chief Compliance Officer at Cetera Investment Services, where she led the development, implementation, and maintenance of compliance programs, ensuring adherence to and maintenance of policies and procedures. Prior to that, she oversaw enterprise-wide risk management for Northwestern Mutual, where she led a risk controls organization that provided first-line oversight, collaborating closely with the compliance, legal, and audit groups. Earlier in her career, she held positions with Deloitte and Thrivent Financial. Weithaus earned a bachelor’s degree in finance and marketing from the University of Wisconsin Oshkosh. She is a graduate of the SIFMA Securities Industry Institute at the University of Pennsylvania Wharton School of Business and holds FINRA Series 6, 7, 24, 26, 51, 53, and 63 licenses. She also serves on the FINRA Foundation Board of Directors.

Together, Schumann and Weithaus bring significant industry knowledge and hands-on experience in the independent broker-dealer industry. Their work will enhance Cambridge’s ability to anticipate regulatory developments, address complex issues efficiently, and maintain a strong culture of compliance in support of its advisors.

About Cambridge
Cambridge is a financial solutions firm focused on serving independent financial professionals and their clients while preserving its internal control. Cambridge offers a broad range of choices for independent financial professionals regarding solutions for advice, growth, technology, and independence. Cambridge’s national reach includes: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest internally controlled independent broker-dealers in the country. Learn more at joincambridge.com.

Contact: Jeff Wulf, Senior Vice President, Cambridge: jeff.wulf@cir2.com or 800-777-6080