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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 2024-01-03
MD RA APPROVED 2020-01-02
  • TX RA
    APPROVED_RES
    Since 2024-01-03
  • MD RA
    APPROVED
    Since 2020-01-02

Branch Locations

106 Old Padonia Rd., Hunt Valley, MD 21030 • 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
Cole Capital Corporation Phoenix AZ 06/2014 12/2018
Equity Fund Advisors Phoenix AZ 06/2014 Present
Cambridge Investment Research, Inc. Fairfield IA 01/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2020 Present
  • 06/2014 → 12/2018
    Cole Capital Corporation
    Phoenix, AZ
  • 06/2014 → Present
    Equity Fund Advisors
    Phoenix, AZ
  • 01/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 01/2020 → Present
    Fairfield, IA
Previous Registrations
  • 2002-11-11 → 2003-11-26
    Forest Hill, MD
  • 2002-08-22 → 2002-11-12
    John Hancock Distributors Llc
    Forest Hill, MD
Other Businesses

1) RYAN AND ASSOCIATES, 106 OLD PADONIA RD, SUITE 3, HUNT VALLEY, MD, CONTRACT ACCOUNTING CONSULTANT, CPA/Enrolled Agent/Tax Preparer/Accounting Services,01/02/20 NIR, 360/YR, 4/TRADING HR 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 01/02/20. 3) MSWA- 130 N BOND ST, #203. BELAIR, MD- VOLUNTEER YOUTH HS WRESTLING ASSOC- NON-PROFIT- NIR- 20/WK- 0/TRADING 4) SELF EMPLOYED- 106 OLD PADONIA RD, FOREST HILL, MD, OWNER- INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.SOLE PROP- INV REL- 10/MO- 10/TRADING 5) DAN MILLER, CPA, 4042 HUNT CREST RD, JARRETTSVILLE, MD, 02/16/21, CPA/Enrolled Agent/Tax Preparer/Accounting Services, 15 HR/WK- 15/TRADING HR. 6) ATHLON ADVISORS, 106 Old Padonia Rd., Suite 3, Hunt Valley MD 21030, 01/01/2025, Occasional non-pay tax preparation, Tax Services, NIR, 5 HR/MO, 5 HR/MO TRADING. 7) LICENSED INSURANCE AGENT, 106 Old Padonia Rd., Suite 3, Hunt Valley MD 21030, 11/01/2024, Agent, Insurance/Benefits/Human Resources, NIR, 3 HR/MO, 3 HR/MO TRADING. 8) MCINTYRE FINANCIAL PLANNING, INC, 106 Old Padonia Rd., Suite 3, Hunt Valley MD 21030, 02/2026, President, DBA Name, INV REL, 140 HR/MO, 140 HR/MO TRADING 9) GARDNER/MCINTYRE FINANCIAL PLANNING, 106 Old Padonia Rd., Suite 3, Hunt Valley MD 21030, 04/2026, Owner, DBA Name, INV REL, 40 HR/MO, 160 HR/MO TRADING 10) GARDNER FINANCIAL PLANNING, 1317 S. Main Rd., Suite 1b, Vineland NJ 08360, 04/2026, Owner (Purchased from Tim Gardner), DBA Name, INV REL, 40 HR/MO, 160 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-12-04
S63 Uniform Securities Agent State Law Examination 2004-08-05
  • S65 Uniform Investment Adviser Law Examination
    2019-12-04
  • S63 Uniform Securities Agent State Law Examination
    2004-08-05

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