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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-09
TX RA APPROVED 2018-10-02
  • NY RA
    APPROVED
    Since 2021-04-09
  • TX RA
    APPROVED
    Since 2018-10-02

Branch Locations

Springwater, NY • United States

140 Allens Creek Rd. Ste. 110, Rochester, NY 14618 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc Fairfield IA 06/2013 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2013 Present
Previous Registrations
  • 2011-06-16 → 2013-06-11
    Wall Street Financial Group, Inc.
    Victor, NY
    Fairport, NY
    Pittsford, NY
    Rochester, NY
  • 2006-04-25 → 2011-03-18
    Wall Street Financial Group, Inc.
    Fairport, NY
    Victor, NY
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-24
S63 Uniform Securities Agent State Law Examination 2002-02-28
  • S65 Uniform Investment Adviser Law Examination
    2006-04-24
  • S63 Uniform Securities Agent State Law Examination
    2002-02-28
Other Names
  • April Beasley
  • April Johnson
  • April Booth
  • April Beasley Johnson

View on SEC IAPD

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