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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-04-23
  • NC RA
    APPROVED
    Since 2021-04-23

Branch Locations

36 Tunnel Rd., Asheville, NC 28805 • 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
Wells Fargo Advisors Llc Candler NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Candler NC 11/2016 02/2020
Lincoln Financial Securities Fort Wayne IN 02/2020 04/2021
Cambridge Investment Research, Inc. Fairfield IA 04/2021 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2021 Present
Previous Registrations
  • 2020-02-18 → 2021-04-27
    Osaic Fs, Inc.
    Virginia Beach, VA
    Asheville, NC
  • 2005-05-11 → 2020-02-21
    Asheville, NC
    Cashiers, NC
    Highlands, NC
    Charlotte, NC
    Candler, NC
    Candler, NC
    Greenville, SC
    Candler, NC
    Asheville, NC
    Charlotte, NC
    Waynesville, NC
    Asheville, NC
  • 2005-01-05 → 2005-05-10
    Cic Advisers, Llc
    Asheville, NC
  • 2002-08-21 → 2004-11-23
    Morgan Stanley Dw Inc.
    Asheville, NC
Other Businesses

1) RYAN P MORAN, 36 TUNNEL ROAD, ASHEVILLE, NC, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 02/19/20, INV REL, 2 HR/WK- 1/TRADING HR. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80 hr/mo-80/TRADING. 04/23/21-IAR 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
S66 Uniform Combined State Law Examination 2002-08-01
  • S66 Uniform Combined State Law Examination
    2002-08-01

View on SEC IAPD

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