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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 2014-08-22
MI RA APPROVED 2014-04-01
  • TX RA
    APPROVED_RES
    Since 2014-08-22
  • MI RA
    APPROVED
    Since 2014-04-01

Branch Locations

309 E Front St, Traverse City, MI 49684 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Traverse City MI 10/2012 Present
Cambridge Investment Research Inc. Fairfield IA 03/2014 Present
Cambridge Investment Research Advisors Inc Fairfield IA 03/2014 Present
Previous Registrations
  • 2012-10-01 → 2014-04-09
    Traverse City, MI
  • 2007-01-31 → 2012-10-01
    Chase Investment Services Corp.
    Cedar, MI
    Traverse City, MI
  • 2005-07-06 → 2007-01-30
    Chase Investment Services Corp.
    Chicago, IL
    Traverse City, MI
  • 2004-04-12 → 2005-07-06
    Banc One Securities Corporation
    Traverse, MI
Other Businesses

1. STEPHEN ANABEL & ASSOCIATES, 309 E FRONT ST, TRAVERSE CITY, MI, 3/2014 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 40/WK - 6/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 6/TRADING. 03/31/14 3. COMMERCIAL RENTAL, 309 FRONT STREET PARTNERS, TRAVERSE CITY, MI, PARTNER, 05/21/19, NIR, 0 HR/YR- 0/TRADING HR. 4. REAL ESTATE RENTAL, 309 FRONT STREET PARTNERS, PARTNER, LANDLORD, 5/21/2019, 0 HR/MO- 0/TRADING HR. NIR 5. NORTHERN FINANCIAL MANAGEMENT, 309 E Front Street, Traverse City MI 49684, 08/2023, Owner, Using a Trade Name/dba, NIR, 120 HR/MO - 120 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-04-07
S63 Uniform Securities Agent State Law Examination 2000-12-08
  • S65 Uniform Investment Adviser Law Examination
    2004-04-07
  • S63 Uniform Securities Agent State Law Examination
    2000-12-08

View on SEC IAPD

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