Richard Charles Maier

Current Employers

Cambridge Investment Research Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-04-29

TX RA
APPROVED

Since 2016-04-29

Branch Locations

616 Sand Branch Drive, Conroe, TX 77304 • 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

Organization	City	State	From	To
Cambridge Investment Research, Inc.	Fairfield	IA	04/2016	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	04/2016	Present

04/2016 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
04/2016 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2002-06-19 → 2016-05-02

Transamerica Financial Advisors, Llc

Conroe, TX

Spring, TX

Austin, TX

Willis, TX

Kingwood, TX

Other Businesses

1) KELLER WILLIAMS REALTY, 2200 N FM 3083 W, CONROE, TX, 09/2003, REALTOR, NIR, 40 HRS/MO, 0 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 04/2016, AS ADVISORY REP OF AN RIA, INV REL, 120 HR/MO, 80 HR/MO TRADING. 3) RICHARD MAIER, 9370 ESCONDIDO DR, WILLIS, TX, 07/2001, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 20 HR/MO, 20 HR/MO TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-06-18
S63	Uniform Securities Agent State Law Examination	2001-05-17

S65 Uniform Investment Adviser Law Examination

2002-06-18
S63 Uniform Securities Agent State Law Examination

2001-05-17

Other Names

Dick Maier

View on SEC IAPD