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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 2026-01-02
SC RA APPROVED 2023-09-12
  • TX RA
    APPROVED_RES
    Since 2026-01-02
  • SC RA
    APPROVED
    Since 2023-09-12

Branch Locations

88 Villa Rd, Greenville, SC 29615 • 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
Independent Financial Group Llc Greenville SC 07/2014 01/2017
Adviseme National Advisors Greenville SC 08/2014 03/2017
Retirement Partner Advisors Greenville SC 02/2017 09/2023
Resources Investment Advisors, Inc. Overland Park KS 02/2017 09/2023
Triad Advisors, Inc. Norcross GA 04/2017 09/2023
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2023 Present
  • 07/2014 → 01/2017
    Independent Financial Group Llc
    Greenville, SC
  • 08/2014 → 03/2017
    Adviseme National Advisors
    Greenville, SC
  • 02/2017 → 09/2023
    Retirement Partner Advisors
    Greenville, SC
  • 02/2017 → 09/2023
    Resources Investment Advisors, Inc.
    Overland Park, KS
  • 04/2017 → 09/2023
    Triad Advisors, Inc.
    Norcross, GA
  • 09/2023 → Present
    Fairfield, IA
Previous Registrations
  • 2017-02-06 → 2023-10-31
    Greenville, SC
    Overland Park, KS
  • 2014-09-09 → 2017-03-17
    Adviseme National Advisors
    Greenville, SC
    Cleveland, OH
  • 2012-11-21 → 2014-08-01
    Financial Telesis Inc
    San Rafael, CA
    Greenville, SC
  • 2009-11-12 → 2012-12-11
    Osaic Fs, Inc.
    Greenville, SC
  • 2008-07-17 → 2009-11-12
    Osaic Fa, Inc.
    Jacksonville, FL
    Simpsonville, SC
    Simpsonville, SC
    Morrisville, NC
Other Businesses

1. First Baptist Simpsonville, 3 Hedge Street, Simpsonville SC 29680, United States, 09/01/2023, Manager, NIR, 15 HR/MO - 0 HR/MO TRADING 2. Madison Financial, 88 Villa Rd., Greenville SC 29615, United States, 09/01/2023, Owner, Using a Trade Name/dba, 160 HR/MO - 160 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-11
S63 Uniform Securities Agent State Law Examination 2008-05-29
  • S65 Uniform Investment Adviser Law Examination
    2008-07-11
  • S63 Uniform Securities Agent State Law Examination
    2008-05-29
Other Names
  • Doug Mccarthy

View on SEC IAPD

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