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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2012-10-01
  • CT RA
    APPROVED
    Since 2012-10-01

Branch Locations

1143 Meriden Waterbury Turnpike, Plantsville, CT 06479 • 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
Leone Financial Services Plainville CT 04/1996 Present
Cambridge Investment Research, Inc Fairfield IA 10/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 10/2012 Present
Previous Registrations
  • 2000-03-06 → 2012-10-05
    Tower Square Securities, Inc.
    Southington, CT
    Southington, CT
Other Businesses

1. PLAN OF CT, 151 NEW PARK AVE, HARTFORD, CT 06106, BOARD MEMBER SINCE 1/1/95, NON-INVESTMENT RELATED, 0 HOURS DURING TRADING HOURS. 2. PLAINVILLE FISH AND GAME ASSOC, PLAINVILLE, CT 06062, SECRETARY, SINCE 4/1/00, 5 HOURS MONTHLY NONE DURING TRADING HOURS. 3. LUCAS LEONE RACING, Southington CT 06489, 01/2021, Owner/Partner of a Business Entity, owning and operating a race car, NIR, 50 HR/MO - 0 HR/MO TRADING 4. ASSOCIATED TAX SERVICE, Southington CT 06489, 01/1998, TAX PREPARER, TAX SERVICES, NIR 20 HR/MO - 20 HR/MO TRADING MICHAEL LEONE 5. AUTHOR, Southington CT 06489, 06/1996, author of book about race car set up, NIR, 1 HR/MO - 0 HR/MO TRADING 6. ASSOCIATED INSURANCE BENEFITS LLC, LEONE FINANCIAL SERVICES LLC, Southington CT 06489, 04/1986, AGENT, INDEPENDANT INSURANCE AGENT, INV-REL, 80 HR/MO - 80 HR/MO TRADING 7. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 8. TREASURER PLAINVILLE FISH AND GAME ASSOC, Allentown Rd, Plymouth CT 06786, United States, 03/01/2025, Treasurer, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 4 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-28
S63 Uniform Securities Agent State Law Examination 1988-02-16
  • S65 Uniform Investment Adviser Law Examination
    1997-05-28
  • S63 Uniform Securities Agent State Law Examination
    1988-02-16

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