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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2023-11-09
KS RA APPROVED 2013-01-22
TX RA APPROVED 2013-01-22
  • PR RA
    APPROVED
    Since 2023-11-09
  • KS RA
    APPROVED
    Since 2013-01-22
  • TX RA
    APPROVED
    Since 2013-01-22

Branch Locations

11225 College Blvd Ste 300, Overland Park, KS 66210 • United States

11225 College Blvd. Ste. 300, Overland Park, KS 66210 • United States

Paola, KS • 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
Cambridge Investment Research, Inc Fairfield IA 01/2013 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 01/2013 Present
Previous Registrations
  • 2001-06-25 → 2013-01-29
    Overland Park, KS
    Overland Park, KS
  • 2001-05-09 → 2006-02-06
    Legacy Financial Group, Inc.
    Overland Park, KS
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 01/22/2013 3) GOLDEN SHORES HOMEOWNER'S ASSOCIATION / TRUSTEESHIP, 23041 Peppermint Drive, Warsaw MO 65355, 10/2022, President, NIR, 1 HR/MO - 0 HR/MO Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-07
S63 Uniform Securities Agent State Law Examination 1999-08-12
  • S65 Uniform Investment Adviser Law Examination
    2001-05-07
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12

View on SEC IAPD

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