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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-19 |
| TX | RA | APPROVED_RES | 2023-05-19 |
Branch Locations
575 E Locust Ave., Ste 202, Fresno, CA 93720 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 11/2013 | 07/2018 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 11/2013 | 07/2018 |
| Axa Advisors, Llc | New York | NY | 07/2018 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 07/2018 | 05/2023 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 05/2023 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 05/2023 | Present |
1. ADAM KIM, 575 E LOCUST AVE STE 202 FRESNO CA 93720, 05/2023, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 2 HR/MO 1 HR/MO TRADING 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 52556, 05/2023 AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 3. VANGUARD UNIVERSITY, 55 Fair Dr, Costa Mesa CA 92626, 05/2023, BOARD MEMBER, NIR, 1 HR/MO - 1 HR/MO TRADING 4. STRADA FINANCIAL, 575 E. Locust Ave, Ste 202B, Fresno CA, 10/2023, USING A TRADE NAME/DBA, INV REL, 160 HR/MO - 80 HR TRADING 5. RAMSEY SMARTVESTOR PRO, 575 E. Locust Ave, Ste 202, Fresno CA 93720, United States, 10/28/2024, referrals, consulting, INV REL, 10/MO - 5/Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-27 |
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