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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-10-12
  • NC RA
    APPROVED
    Since 2017-10-12

Branch Locations

1015 Ashes Dr. Ste. 206, Wilmington, NC 28405 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 10/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 Present
Lpl Financial Llc Wilmington NC 02/2007 10/2017
Previous Registrations
  • 2007-02-23 → 2017-10-19
    Wilmington, NC
    Wilmington, NC
    Fort Mill, SC
    Wilmington, NC
    Wilmington, NC
    Belville, NC
  • 2007-01-26 → 2007-02-28
    Wilmington, NC
Other Businesses

1. STRATEGIC INVESTMENT PARTNERS, 1508 MILITARY CUTOFF STE 206, WILMINGTON, NC, 10/2017 AS OWNING PARTNER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 50/WK - 8/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. THE CASON GROUP,1612 MARION STREET, COLUMBIA, SC, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5/MO- 1/TRADING 4. BRUNSWICK COUNTY COMMUNITY FOUNDATION, 3737 GLENWOOD AVE, STE 460, RALEIGH NC, 05/15/20, NIR, 6/YR- 1/TRADING 5. WOLFE CAPITAL INC, 7005 Cayman Court, Wilmington NC 28405, United States, 11/17/2023, President, DBA, NIR, 1 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-16
S65 Uniform Investment Adviser Law Examination 1999-12-08
S63 Uniform Securities Agent State Law Examination 1999-08-12
  • S66 Uniform Combined State Law Examination
    2007-01-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-08
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12

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