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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-03
NC RA APPROVED 2022-03-01
  • TX RA
    APPROVED_RES
    Since 2024-01-03
  • NC RA
    APPROVED
    Since 2022-03-01

Branch Locations

602 Main St W, Locust, NC 28097 • 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
Voya Financial Advisors Des Moines IA 09/2014 06/2021
Cetera Advisor Networks Llc El Segundo CA 06/2021 03/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 03/2022 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Des Moines, IA
  • 06/2021 → 03/2022
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 03/2022 → Present
    Fairfield, IA
  • 03/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2021-06-09 → 2022-03-02
    Cetera Wealth Services, Llc
    Greenville, SC
    Matthews, NC
  • 2017-06-09 → 2021-06-09
    Matthews, NC
    Greenville, SC
    Windsor, CT
Other Businesses

1) WATER OAK PROPERTIES, 602 Main St W; Locust, NC 28097, 08/1999, OWNER, REAL ESTATE, NIR, 20 HRS/MO 5 HRS/MO TRADING 2) WATER OAK INVESTMENTS, 602 Main St W; Locust, NC 28097, 01/2000, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO, 10 HR/MO TRADING 3) CIRA, 776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2022, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING 4) EXECUTIVES ASSOCIATION OF CHARLOTTE, PO BOX 49654 CHARLOTTE NC, 01/2023, BOARD MEMBER, NIR, 2 HR/MO 1 HR/MO TRADING 5) WATER OAK PARTNERS, 602 Main St W; Locust, NC 28097, 01/2023, OWNER, REAL ESTATE, NIR, 5 HRS/MO 3 HRS/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-01
S63 Uniform Securities Agent State Law Examination 1999-10-30
  • S66 Uniform Combined State Law Examination
    2017-06-01
  • S63 Uniform Securities Agent State Law Examination
    1999-10-30

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