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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-07-22
  • TX RA
    APPROVED
    Since 2013-07-22

Branch Locations

12219 Quaker Ste B, Lubbock, TX 79424 • United States

12219 Quaker Ste. B, Lubbock, TX 79424 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc Fairfield IA 08/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 07/2012 Present
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-200/MO-120/TRADING. 07/22/13 2) SAM LAW LLC, 12219 Quaker Avenue, Suite B, Lubbock TX 79424, United States, 03/22/2024, Owner, Using a Trade Name/dba, NIR, 160 HR/MO - 130 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-07-19
S63 Uniform Securities Agent State Law Examination 2000-08-28
  • S65 Uniform Investment Adviser Law Examination
    2013-07-19
  • S63 Uniform Securities Agent State Law Examination
    2000-08-28
Other Names
  • Sam Law

View on SEC IAPD

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