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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-10-15 |
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