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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_RES 2020-06-22
KS RA APPROVED 2013-01-22
  • TX RA
    APPROVED_RES
    Since 2020-06-22
  • KS RA
    APPROVED
    Since 2013-01-22

Branch Locations

11225 College Blvd Ste 300, Overland Park, KS 66210 • 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 01/2013 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 01/2013 Present
Previous Registrations
  • 2011-02-08 → 2013-01-29
    Overland Park, KS
  • 2009-10-19 → 2011-01-10
    New England Securities
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
  • 2007-08-01 → 2009-10-06
    Overland Park, KS
    Overland Park, KS
    Leawood, KS
  • 2002-11-13 → 2003-07-09
    John Hancock Distributors Llc
    Indianapolis, IN
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-09-25
S63 Uniform Securities Agent State Law Examination 2000-05-03
  • S65 Uniform Investment Adviser Law Examination
    2002-09-25
  • S63 Uniform Securities Agent State Law Examination
    2000-05-03

View on SEC IAPD

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