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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-06-04
  • SC RA
    APPROVED
    Since 2021-06-04

Branch Locations

404 Memorial Dr. Extension Suite C, Greer, SC 29651 • 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
Foresters Equity San Diego CA 08/2014 10/2018
Barnette And Associates Wealth Management, Llc Greer SC 08/2014 Present
Gwn Securities, Inc. Palm Beach Gardens FL 10/2018 05/2021
Cambridge Investment Research, Inc. Fairfield IA 06/2021 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2021 Present
  • 08/2014 → 10/2018
    Foresters Equity
    San Diego, CA
  • 08/2014 → Present
    Barnette And Associates Wealth Management, Llc
    Greer, SC
  • 10/2018 → 05/2021
    Palm Beach Gardens, FL
  • 06/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2021 → Present
    Fairfield, IA
Previous Registrations
  • 2018-10-18 → 2021-06-04
    Greer, SC
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Greer, SC
  • 2014-09-11 → 2018-10-18
    Foresters Equity Services, Inc.
    Greer, SC
    Greer, SC
    San Diego, CA
    Ocala, FL
  • 2007-01-25 → 2014-08-27
    Osaic Fs, Inc.
    Charlotte, NC
    Simpsonville, SC
    Greenville, SC
    Simpsonville, SC
    Greer, SC
Other Businesses

1) BULL FINANCIAL, LLC, 404 MEMORIAL DRIVE, EXT STE C, GREER, SC, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 08/01/02, INV REL, 40 HR/MO- 8/TRADING HR. Insurance Sales - Life, Health, Disability, Fixed annuities, Fixed Indexed Annuities. Entity is used for tax liability purposes and marketing. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80/MO-80/TRADING. 06/04/21IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. OBA FORM SUBMITTED ON FINANCIAL PROFESSIONAL 'S BEHALF, BY CIR HOME OFFICE. TIME SPENT AND INCOME ARE ESTIMATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-12
S63 Uniform Securities Agent State Law Examination 2002-02-07
  • S65 Uniform Investment Adviser Law Examination
    2006-06-12
  • S63 Uniform Securities Agent State Law Examination
    2002-02-07

View on SEC IAPD

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