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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-02 |
| NC | RA | APPROVED | 2016-03-11 |
Branch Locations
1155 Southgate Corp Park, Hickory, NC 28601 • United States
Hickory, NC • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Concepts | Hickory | NC | 01/2004 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 02/2016 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 02/2016 | Present |
1) WIND RIVER FINANCIAL DBA CAPITAL CONCEPTS FINANCIAL GROUP, 1155 SOUTHGATE CORP PARK SW, HICKORY, NC, 10/2000, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR, 200 HR/MO, 160 HR/MO TRADING 2) HICKORY CHRISTIAN ACADEMY, 3260 6TH ST DR NW, HICKORY, NC, 07/2014, BOARD MEMBER, NIR, 1 HR/WK, 0/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 02/2016, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 60 HR/MO TRADING. 4) CAPITAL CONCEPTS PROPERTIES, 1155 SOUTHGATE CORP PARK SW, HICKORY. NC. 10/2020, GENERAL PARTNER, PROPERTY, NIR, 5 HR/YR, 0 HR/YR TRADING. 5) AMERITAS, 1155 SOUTHGATE CORP PARK SW. HICKORY. NC, 02/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 1 HR/MO. 1 HR/MO TRADING/
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-01 |
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