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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2014-09-02
  • OH RA
    APPROVED
    Since 2014-09-02

Branch Locations

145 W. Second Street, Chillicothe, OH 45601 • 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 06/2010 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2014 Present
Previous Registrations
  • 2000-05-23 → 2015-05-21
    Brooke & Schafer, Llc
    Cincinnati, OH
    Cincinnati, OH
  • 2008-01-28 → 2008-01-28
    Questar Asset Management, Inc.
    Cincinnati, OH
Other Businesses

1) JAMES SCHAFER, INDEPENDENT INSURANCE AGENT, 4357 FERGUSON DR, CINCINNATI, OH, 1/20/2004 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - .1/TRADING. 2) VICTORIA AND JAMES SCHAFER, RENTAL PROPERTY CO-OWNER, 145 W SECOND ST, CHILLICOTHE, OH, 4/01/2018 AS OWNER. NIR - 0 HRS 3) CINCINNATI POKER CLUB, IRISH HERITAGE CENTER, 3905 EASTERN AVE, CINCINNATI, OH, 7/01/2018 AS CLUB MEMBER/PLAYER. NIR, 8 HR/MO 0/ HRTRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 36 HR/WK 28 HR/TRADING, 09/2014 5) UHRIG FINANCIAL, 71 E SECOND ST CHILLICOTHE OH, 02/2019, TAX PREPARER, NIR ,12 HR/WK 0 HR/TRADING 6) JAMES SCHAFER, 145 W SECOND ST CHILLICOTHE OH, HEALTH CARE POA FOR CLIENT, 09/2016, NIR, 0 HR/WK 0/TRADING HR 7) JAMES SCHAFTER, HOMEOWNER, 94 W SECOND STREET CHILLICOTHE OH, 04/2018, NIR, 0 HR/MO- 0/TRADING HR. RENTAL PROPERTY 8) MASONIC LODGE SCIOTO #6, 57 E MAIN STREET 3RD FLOOR CHILLICOTHE OH, 02/2023, Secretary, NIR, 10 HR/MO 0 HR/MO TRADING 9) BROOKE & SCHAFER, LLC DBA JAMES FRITZ SCHAFER AND CHRIS SCHAFER, 145 W SECOND STREET CHILLICOTHE OH, 08/2024, OWNER, DBA, INV REL, 180 HR/MO 180 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-06-07
  • S63 Uniform Securities Agent State Law Examination
    2005-06-07
Designations
Other Names
  • Fritz Schafer
  • James Fritz Schafer

View on SEC IAPD

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