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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2020-08-18
  • KY RA
    APPROVED
    Since 2020-08-18

Branch Locations

210 N Broad St., London, KY 40741 • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities Service Network, Inc London KY 02/2008 07/2020
Cambridge Investment Research, Inc. Fairfield IA 08/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2020 Present
Previous Registrations
  • 2008-02-11 → 2020-08-04
    Ssn Advisory, Inc.
    London, KY
  • 2007-01-03 → 2008-02-08
    Natcity Investments, Inc.
    Florence, KY
    Middlesboro, KY
    Corbin, KY
    Louisville, KY
    London, KY
    London, KY
  • 2003-10-28 → 2005-09-21
    A. G. Edwards & Sons, Inc.
    London, KY
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 08/03/20 2) RYSER FINANCIAL, 210 N BROAD STREET, LONDON, KY, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/11/02, INV REL, 01/MO- 0/TRADING 3) LAUREL COUNTY PUBLIC LIBRARY, 120 COLLEGE PARK DRIVE, LONDON, KY, BOARD MEMBER OF A PUBLIC ENTITY, 07/01/19, NIR, 2/MO- 0/TRADING 4) RYSER'S FLOORING, PO BOX 475, EAST BERNSTADT, KY, FLOORING BOOKKEEPER, 06/01/20, 4/WK- 0/TRADING 5) MAPLE STREET PROPERTIES, 210 N BROAD ST, LONDON, KY, BOARD MEMBER OF A NON-PUBLIC ENTITY, 09/01/08, NIR, 1/WK- 0/TRADING 6) LAUREL COUNTY BOARD OF EDUCATION, 201 S. Laurel Road, London, KY 40741, 08/2026, Coach, 1099, NIR, 30 HR/MO - 10 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-12-13
  • S66 Uniform Combined State Law Examination
    2001-12-13
Other Names
  • Rocky Ryser

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