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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2019-10-04
TX RA APPROVED_RES 2019-10-04
  • OK RA
    APPROVED
    Since 2019-10-04
  • TX RA
    APPROVED_RES
    Since 2019-10-04

Branch Locations

6821 N. Broadway, Broadway, OK 73034 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corporation Oklahoma City OK 11/2013 10/2019
Nettworth Financial Group Oklahoma City OK 11/2013 Present
Cambridge Investment Research, Inc. Fairfield IA 10/2019 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2019 Present
  • 11/2013 → 10/2019
    Fsc Securities Corporation
    Oklahoma City, OK
  • 11/2013 → Present
    Nettworth Financial Group
    Oklahoma City, OK
  • 10/2019 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 10/2019 → Present
    Fairfield, IA
Previous Registrations
  • 2013-11-20 → 2019-10-10
    Fsc Securities Corporation
    Edmond, OK
  • 2012-03-02 → 2013-11-18
    Oklahoma City, OK
    San Diego, CA
    San Diego, CA
  • 2008-01-22 → 2012-01-17
    Oklahoma City, OK
    Oklahoma City, OK
  • 2007-02-12 → 2007-12-17
    Uvest Financial Services Group, Inc.
    Edmond, OK
  • 2005-08-24 → 2007-02-01
    Chase Investment Services Corp.
    Oklahoma City, OK
    Oklahoma City, OK
  • 2004-05-25 → 2005-08-30
    Oklahoma City, OK
  • 2004-01-29 → 2004-05-04
    Banc One Securities Corporation
    Midwest City, OK
  • 2001-11-28 → 2002-07-15
    Morgan Stanley Dw Inc.
    Edmond, OK
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 2. FOUR LEAF WINE AND SPIRITS, 6833 N BROADWAY, EDMOND OK, LIQUOR STORE, 10/14/20, OWNER, NIR, 5/WK- 0/TRADING 3. Insurance, 6821 N Broadway, Edmond OK 73034, United States, START DATE: 01/01/2001, Insurance Advisor, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 80 HR/MO - 45 HR/MO TRADING 4. FOUR LEAF WEALTH MANAGEMENT, EDMOND OK 73034, 02/27/2023, Investment Advisor Representative, INVESTMENT ADVISORS DBA FOUR LEAF WEALTH MANAGEMENT THROUGH CAMBRIDGE, INV REL, 40 HR/MO - 130 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-24
  • S66 Uniform Combined State Law Examination
    2001-05-24
Other Names
  • Brent Alan Peck

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