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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 2022-01-03
MO RA APPROVED 2015-11-02
  • TX RA
    APPROVED_RES
    Since 2022-01-03
  • MO RA
    APPROVED
    Since 2015-11-02

Branch Locations

407 S Elson St, Kirksville, MO 63501 • 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 11/2015 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2015 Present
Previous Registrations
Other Businesses

1)KIRKSVILLE R-III SCHOOLS FOUDATION, 1901 E HAMILTON, KIRKSVILLE, MO, 9/1982 AS TREASURER. NIR - NPO - 1 HR/YR - 1/TRADING. 2)EAGLE STAFF FINANCIAL SERVICES, 407 S ELSON, KIRKSVILLE, MO, 11/022015 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 15 HR/WK - 15/TRADING. 3) EAGLE STAFF FINANCIAL SERVICES, 407 S ELSON, KIRKSVILLE, MO, 11/02/2015 INV REL - FINANCIAL PROFESSIONAL UTILIZING DBA NAME. 40 HR/WK - 40/TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 25 HR/WK - 25/TRADING. 11/02/15. 5) SCHUYLER COUNTY BANCSHARES, 600 S BALTIMORE ST, KIRKSVILLE, MO, 9/01/1985 AS BOARD MEMBER. SILENT PARTNER, NIR - 2/YR - 2/TRADING. 6) RE FARMS, Highway O, Novinger MO 63559, 03/2025, OWNER, REAL ESTATE, NIR, 1 HR/MO - 0 HR/MO TRADING. 7) KIRKSVILLE UNITED METHODIST CHURCH, 300 East Washington Street, Kirksville MO 63501, United States, START DATE 01/2026, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, HR/MO 2, HR/MO TRADING 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-04
S63 Uniform Securities Agent State Law Examination 1998-02-20
  • S65 Uniform Investment Adviser Law Examination
    2014-01-04
  • S63 Uniform Securities Agent State Law Examination
    1998-02-20
Other Names
  • Rick F. Riley

View on SEC IAPD

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