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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-09 |
| TX | RA | APPROVED_RES | 2021-01-08 |
Branch Locations
401 Park Avenue South Suite 1044, New York, NY 10016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corp | Lynnfield | MA | 07/2008 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | 03/2018 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 03/2018 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 03/2018 | Present |
1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2. TNFAC LLC, ASTORIA, NY, 03/2018. PRESIDENT, TO PROVIDE TAX AND LEGAL LIABILITY. NIR-0/YR-0/TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-14 |
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