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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-09
  • NY RA
    APPROVED
    Since 2021-04-09

Branch Locations

825 East Gate Blvd Ste 103, Garden City, NY 11530 • 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
Fsc Securities Corp Atlanta GA 08/2014 10/2019
Cambridge Investment Research, Inc. Fairfield IA 10/2019 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2019 Present
Previous Registrations
  • 2014-09-22 → 2019-10-11
    Fsc Securities Corporation
    Garden City, NY
  • 2005-08-12 → 2014-08-27
    Investors Capital Corp.
    Valley Stream, NY
    Lynnfield, MA
    Valley Streams, NY
    Commack, NY
    Freeport, NY
    Lynbrook, NY
Other Businesses

1. DB ADVISOR GROUP, 825 E GATE BLVD STE 103, GARDEN CITY, NY, 9/2014 AS VICE PRESIDENT OF SCORP TO PROVIDE TAX AND LEGAL LIABILITY. NIR - 1/WK - 1/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. NETTWORTH FINANCIAL GROUP, 825 E Gate Blvd, Garden City NY 11530, 11/2014, Investment Advisor Representative, Marketing, NIR, 10 HR/MO, 5 HR/MO TRADING. 4. INDEPENDENT INSURANCE AGENT, 825 E Gate Blvd, Garden City NY 11530, 11/2025, Agent, Insurance/Benefits/Human Resources, NIR, 5 HR/MO, 5 HR/MO TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-24
S63 Uniform Securities Agent State Law Examination 1996-12-02
  • S66 Uniform Combined State Law Examination
    2011-05-24
  • S63 Uniform Securities Agent State Law Examination
    1996-12-02

View on SEC IAPD

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