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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-06-09 |
| TX | RA | APPROVED_RES | 2023-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Indianapolis | IN | 11/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Indianpolis | IN | 11/2016 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brentwood | TN | 06/2017 | 07/2020 |
| Bank Of America, N.A. | Brentwood | TN | 08/2017 | 07/2020 |
| Raymond James Financial Services, Inc. | Franklin | TN | 08/2021 | 05/2023 |
| Southwestern Investment Group | Franklin | TN | 09/2021 | 11/2022 |
| Southwestern Investment Advisory Services, Inc | Franklin | TN | 08/2021 | Present |
| Basho75 Llc/Dba Home Well Care Services | Franklin | TN | 07/2020 | 08/2021 |
| Southwestern Investment Advisory Group | Franklin | TN | 09/2021 | Present |
| Lange Wealth Team | Brentwood | TN | 08/2021 | Present |
| Sagespring Wealth Partners | Brentwood | TN | 11/2022 | 05/2023 |
| Southwestern Investment Advisory Group | Franklin | TN | 09/2021 | 11/2022 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 06/2023 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 06/2023 | Present |
1) GATEWAY FINANCIAL ADVISORS INC, 1613 CHAMPIONSHIP BLVD FRANKLIN TN 37064, 06/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/WK 2 HR TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA 52556, 06/2023, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 3) ROBERT SOERENS DBA ROBERT SOERENS, 1006 CLIFTON STREET FRANKLIN TN 37064, 06/2023, Insurance/Benefits/Human Resources, Insurance/Benefits/Human Resources, NIR, 4 HR/MO - 4 HR/MO TRADING 4) CLIFTON STREET WEALTH MANAGEMENT, 1907 Eliot Rd, Franklin TN 37064, 02/2024, DIRECTOR, DBA, INV REL, 160 HR/MO 40 HR/MO TRADING 5) GATEWAY FINANCIAL ADVISORS LLC, 1613 Championship Blvd, Franklin TN 37064, United States, 04/17/2025, Agent, Insurance/Benefits/Human Resources, NIR, 5HR/MO 2HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-27 |
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