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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-09 |
| TX | RA | APPROVED | 2018-10-02 |
Branch Locations
Springwater, NY • United States
140 Allens Creek Rd. Ste. 110, Rochester, NY 14618 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 06/2013 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 06/2013 | Present |
1) INDEPENDENT INSURANCE AGENT, 9795 COYKENDALL HILL RD, SPRINGWATER, NY, FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 2/TRADING. 2) Rodan & Fields 60 Spear Street Suite 600 San Francisco CA 94105. 10/16/2017 Direct Sales- Skin Care. Not investment related, 5/weekly, 0/trading. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4) PITTMAN MANAGEMENT, 9795 COYKENDALL HILL RD, SPRINGWATER, NY, 10/2012 AS OWNER OF LLC IN THE PROCESS OF BEING DISSOLVED, PREVIOUSLY OWNED RENTAL PROPERTY. NIR - 0 HRS. 5) TAG ADVISORS / Springwater NY 14560 / 01/15/2018 / INV REL / EMPLOYEE - COO / 160 HR/MO - 160 HR/MO TRADING 6) ROCO, 9795 COYKENDALL HILL RD, SPRINGWATER, NY, 05/2025, COMMITTEE MEMBER, VOLUNTEER, NIR, 10 HR/MO - 0 HR/MO TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-28 |
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