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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-09
  • NY RA
    APPROVED
    Since 2021-04-09

Branch Locations

99 N Broad St., Johnson City, NY 13790 • 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
Avantax Investment Services, Inc. Johnson City NY 07/2001 12/2020
Avantax Advisory Services Johnson City NY 01/2008 12/2020
Cambridge Investment Research, Inc. Fairfield IA 12/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2020 Present
  • 07/2001 → 12/2020
    Avantax Investment Services, Inc.
    Johnson City, NY
  • 01/2008 → 12/2020
    Avantax Advisory Services
    Johnson City, NY
  • 12/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 12/2020 → Present
    Fairfield, IA
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 12/01/2020. 2) AMY L. SMITH DBA THE TAXSMITHS, 99 N. BROAD ST., JOHNSON CITY, NY, 06/2013, OWNER, TAX PREPARATION, NIR, 50 HRS/MO, 30 HRS/MO TRADING. 3) AMY L. SMITH DBA AMY L. SMITH FINANCIAL SERVICES, 99 N. BROAD ST., JOHNSON CITY, NY, 07/2011, OWNER, TRADE NAME/DBA, NIR, 160 HRS/MO, 132 HRS/MO TRADING. 4) AMY L. SMITH, 99 N. BROAD ST., JOHNSON CITY, NY, 06/2009, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 40 HRS/MO, 40 HRS/MO TRADING. 5) STERLING A. SMITH AND AMY L. SMITH, 99 N. BROAD ST., JOHNSON CITY, NY 13790, 01/2012, OWNER, REAL ESTATE, NIR, 1 HR/MO - 1 HR/MO TRADING. 6) AMY L SMITH, 99 N Broad St, Johnson City NY 13790, 09/19/2016, Notary Public, Notary, NIR, 0 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-10-15
  • S63 Uniform Securities Agent State Law Examination
    2001-10-15
Designations
Other Names
  • Amy Lynn Coleman

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