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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-06-10
  • CA RA
    APPROVED
    Since 2016-06-10

Branch Locations

Santa Cruz, CA • 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
Cambridge Investment Research, Inc. Fairfield IA 06/2016 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2016 Present
Previous Registrations
  • 2011-09-07 → 2016-07-22
    Protected Investors Of America
    San Francisco, CA
    San Francisco, CA
    Santa Cruz, CA
  • 2009-06-01 → 2011-09-21
    Capitola, CA
    Santa Cruz, CA
  • 2003-10-17 → 2009-06-01
    Capitola, CA
    Capitola, CA
  • 2002-03-29 → 2003-10-23
    A. G. Edwards & Sons, Inc.
    Monterey, CA
Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 40/WK 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2. SANTA CRUZ SURFING PRESERVATION SOCIETY, 701 WEST CLIFF DR SANTA CRUZ CA, 1/2010, DIRECTOR, VOLUNTEER, NIR, 2/MO 0/TRADING. 3. POINT SANTA CRUZ STRATEGIES, 330 Locust Street, Santa Cruz CA 95060, 05/16/2024, POINT SANTA CRUZ STRATEGIES IS SIMPLY A BUSINESS LICENSE NAME FOR MARKETING, Administrative, NIR, 0 HR/MO, 0 HR/MO TRADING. 4. JANE M. MCKENZIE, 330 Locust Street, Santa Cruz CA 95060, United States, 10/2003, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 6/MO 6/TRADING. 5. JANE MCKENZIE, 132 Liberty Street SANTA CRUZ CA, 01/1995, Rental Property Owner, Real Estate Rental, NIR, 4 HR/MO 0 HR/MO Trading. 6. PROTECTED INVESTORS OF AMERICA, 111 Santa Rosa Avenue, Santa Rosa CA 95404, United States, 11/13/2024, IAR, DBA, INV REL, 0/MO - 0/Trading 7. POINT SANTA CRUZ STRATEGIES , INC., 330 Locust Street, Santa Cruz CA 95060, 04/2025, Owner, DBA Name, INV REL, 140 HR/MO, 100 HR/MO TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-02-21
  • S63 Uniform Securities Agent State Law Examination
    2000-02-21

View on SEC IAPD

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