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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-03 |
| NC | RA | APPROVED | 2022-03-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-30 |
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