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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2015-11-24
  • CT RA
    APPROVED
    Since 2015-11-24

Branch Locations

85 Felt Road, Suite 603, South Windsor, CT 06074 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cathy W. Pinard, Cpa Ellington CT 09/1992 Present
Cambridge Investment Research, Inc. Fairfield IA 11/2015 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2015 Present
Previous Registrations
  • 2006-01-12 → 2015-11-17
    National Planning Corporation
    South Windsor, CT
    El Segundo, CA
    Ellington, CT
    South Windsor, CT
  • 2001-05-11 → 2005-12-31
    U.S. Financial Advisors
    Ellington, CT
Other Businesses

1) ELLINGTON ASSOCIATES, LLC, ELLINGTON, CT, 5/2005 AS RENTAL REAL ESTATE OWNER. NIR - 100 HR/YR - 10/TRADING. 2) CPA - 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 09/1992 - NIR - 960 HR/YR - 480/TRADING. 3) CO-TRUSTEE OF P.L.D. LIVING TRUST AND DURABLE POA FOR P.L.D., 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 12/2017. NIR - 8/MO - 0/TRADING. 4) PREMIER TAX & WEALTH ADVISORS, 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 12/2015. INV REL - FINANCIAL PROFESSIONAL UTILIZING DBA NAME. 5) PREMIER TAX & WEALTH ADVISORS, 7 KEYNOTE DRIVE, SUITE C, VERNON, CT, 12/2000 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5 HR/YR - 5/TRADING. 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 1920 HR/YR - 1400/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 7) CMW ASSOCIATES LLC, 12 East Shore Road, Ellington CT 06029, 12/2024, Owner, Owner/Partner of a Business Entity, NIR, 2 HR/MO, 1 HR/MO TRADING. 8) WENTWORTH PARK ASSOCIATION, INC., South Windsor CT 06074, United States, 10/20/2025, Board Member, Volunteer, NIR, 1 HR/MO - 1 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-16
  • S66 Uniform Combined State Law Examination
    1999-12-16
Other Names
  • Cathy Mae Webster

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