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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 2025-03-14
NC RA APPROVED 2021-04-23
  • TX RA
    APPROVED_RES
    Since 2025-03-14
  • NC RA
    APPROVED
    Since 2021-04-23

Branch Locations

102 1St Ave. Ne, Hickory, NC 28610 • 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
Lincoln Financial Securities Corporation Hickory NC 07/2008 04/2021
Cambridge Investment Research, Inc. Fairfield IA 04/2021 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2021 Present
  • 07/2008 → 04/2021
    Lincoln Financial Securities Corporation
    Hickory, NC
  • 04/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 04/2021 → Present
    Fairfield, IA
Previous Registrations
  • 2007-08-13 → 2021-04-26
    Osaic Fs, Inc.
    Greensboro, NC
    Greensboro, NC
    Durham, NC
    Durham, NC
    Pineville, NC
    Greensboro, NC
    Hickory, NC
    Asheville, NC
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80/MO- 80/TRADING. 04/23/21-IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. OBA FORM SUBMITTED ON FINANCIAL PROFESSIONAL 'S BEHALF, BY CIR HOME OFFICE. TIME SPENT AND INCOME ARE ESTIMATED. 2) KP INSURANCE PARTNERS, INC, 5706 CHICORY MEADOWS CT, CLEMMONS, NC, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 05/20/21, INV REL, PRESIDENT, 10 HR/WK- 2/TRADING HR. 3) SUMMIT INVESTMENT SOLUTIONS, 102 1st Ave. NE, Hickory NC 28601, United States, 04/23/2021, IAR, DBA Name, INV REL, 35 HR/MO- 160HR/MO TRADING HR.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-06
S63 Uniform Securities Agent State Law Examination 1998-06-11
  • S65 Uniform Investment Adviser Law Examination
    2006-06-06
  • S63 Uniform Securities Agent State Law Examination
    1998-06-11

View on SEC IAPD

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