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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-08-26
TX RA APPROVED 2019-08-26
  • CO RA
    APPROVED
    Since 2019-08-26
  • TX RA
    APPROVED
    Since 2019-08-26

Branch Locations

350 Indiana Street Suite 730, Golden, CO 80401 • United States

Highlands Ranch, CO • 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
Client One Securities, Llc Greenwood Village CO 01/2013 08/2019
Cambridge Investment Research Advisors, Inc Fairfield IA 08/2019 Present
Cambridge Investment Research, Inc. Fairfield IA 08/2019 Present
  • 01/2013 → 08/2019
    Client One Securities, Llc
    Greenwood Village, CO
  • 08/2019 → Present
    Fairfield, IA
  • 08/2019 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2013-01-03 → 2019-08-22
    Overland Park, KS
    Greenwood Village, CO
    Highlands Ranch, CO
  • 2004-07-27 → 2012-12-31
    Sunset Financial Services, Inc.
    Greenwood Village, CO
    Greenwood Village, CO
  • 2004-05-03 → 2004-06-28
    National Planning Corporation
    Denver, CO
Other Businesses

1. KANSAS CITY LIFE, 3520 BROADWAY, KANSAS CITY, MO, 06/2004. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-10/MO-10/TRADING. 2. CENTENNIAL CAPITAL PARTNERS, 13984 WEST BOWLES AVE STE 200, LITTLETON, CO, 08/2019. FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-40/WK-35/TRADING. 3. DIBROKER WEST, 16325 SW BOONES FERRY RD STE 101, LAKE OSWEGO, OR, 03/2018. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-0/WK-0/TRADING. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 5. ALLEGIS, 10235 SOUTH JORDAN GATEWAY, SOUTH JORDAN, UT, FINANCIAL ADVISOR, INSURANCE SALES- LIFE, 01/09/20, INV REL- 5/MO- 5/TRADING 6. ACCELERATED INSURANCE GROUP, 10700 E GEDDES,STE 150, ENGLEWOOD, CO, FINANCIAL ADVISOR, INSURANCE SALES, 03/02/20, NIR, 2/MO- 2/TRADING 7. EWEN FINANCIAL SERVICES, LLC, 2601 Baneberry Ct, Highlands Ranch CO 80129, United States, 06/27/2022, Owner, Using a Trade Name/dba, NIR, 2 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-04-20
S63 Uniform Securities Agent State Law Examination 2003-02-11
  • S65 Uniform Investment Adviser Law Examination
    2004-04-20
  • S63 Uniform Securities Agent State Law Examination
    2003-02-11
Designations

View on SEC IAPD

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