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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-07-22
  • NC RA
    APPROVED
    Since 2024-07-22

Branch Locations

Wendell, NC • United States

3334 Hillsborough St., Raleigh, NC 27607 • 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
Lincoln Financial Securities Corporation Wendell NC 08/2015 07/2024
Cambridge Investment Research, Inc. Fairfield IA 07/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2024 Present
  • 08/2015 → 07/2024
    Lincoln Financial Securities Corporation
    Wendell, NC
  • 07/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 07/2024 → Present
    Fairfield, IA
Previous Registrations
  • 2019-01-18 → 2024-07-22
    Osaic Fs, Inc.
    Wendell, NC
    Wendell, NC
    Raleigh, NC
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/22/2024 2. JESSICA C LAMB, FINANCIAL ADVISOR, 7805 CORTONA WAY, WENDELL NC 27591, 08/01/2024, President, Insurance/Benefits/Human Resources, NIR, 600 HR/MO, 600 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-10
S63 Uniform Securities Agent State Law Examination 2002-11-04
  • S65 Uniform Investment Adviser Law Examination
    2018-09-10
  • S63 Uniform Securities Agent State Law Examination
    2002-11-04

View on SEC IAPD

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