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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-12-12
CA RA APPROVED 2010-07-15
  • TX RA
    APPROVED_RES
    Since 2017-12-12
  • CA RA
    APPROVED
    Since 2010-07-15

Branch Locations

1801 North California Blvd. Ste 106, Walnut Creek, CA 94596 • United States

Brisbane, CA • 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 10/2009 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2010 Present
Other Businesses

1. HAE JUNG KIM FINANCIAL/RETIREMENT SERVICES - 123 ROCK WREN LANE, BRISBANE, CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 05/30/00, INV REL, 12 HR/WK- 0/TRADING HR. 2. HAE JUNG KIM, 123 ROCK WREN LANE, BRISBANE, CA, OWNER OF RENTAL PROPERTY, PROPERTY IS HANDLED BY HIRED PROPERTY MANAGER 09/18/15, NIR - 0HRS. 3. GATEWAY FINANCIAL ADVISORS, LLC, INC. DBA: QUALITY LIFE INSURANCE AGENCY, 6000 Uptown Blvd., NE suite 100, Albuquerque NM 87110, 03/2025, Investment Advisor Representative, Insurance/Benefits/Human Resources, INV REL, 40 HR/MO, 40 HR/MO TRADING. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 07/30/10 5. GATEWAY FINANCIAL ADVISORS, INC, 123 ROCK WREN LANE, BRISBANE, CA, 03/11/19, NIR, ELITE BENEFITS, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,1 HR/YR- 0/TRADING HR. 6. Gateway Financial Advisors, LLC, 123 Rock Wren Lane, Brisbane CA 94005, United States, 03/2026, Owner, DBA Name, NIR, HR/MO: 40 - HR/MO TRADING: 10

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-09
S63 Uniform Securities Agent State Law Examination 2001-04-25
  • S65 Uniform Investment Adviser Law Examination
    2010-07-09
  • S63 Uniform Securities Agent State Law Examination
    2001-04-25
Other Names
  • Hae Jung Kim

View on SEC IAPD

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