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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-04 |
Branch Locations
5550 Main St Suite 1, Williamsville, NY 14221 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mollot & Hardy Inc. | Amherst | NY | 03/2008 | Present |
| Fsc Securities Corporation | Amherst | NY | 02/2009 | 06/2021 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 06/2021 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 06/2021 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80 HR/MO-80/TRADING. 06/04/21 IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. OBA FORM SUBMITTED ON FINANCIAL PROFESSIONAL 'S BEHALF, BY CIR HOME OFFICE. TIME SPENT AND INCOME ARE ESTIMATED. 2) OCEAN WEALTH GROUP LLC, 5550 MAIN STREET STE 1 WILLIAMSVILLE NY, 05/2021, OWNER, DBA, INV REL, 0 HR/YR 0/TRADING 3) MICHAEL HARDY & MARIA HARDY, 5453 MARTHAS VINEYARD CLARENCE CENTER NY 14032, 09/2023, OWNER, REAL ESTATE, NIR, 2 HR/MO 0 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-11-02 |
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