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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2024-09-06
TX RA APPROVED 2024-09-06
  • ME RA
    APPROVED
    Since 2024-09-06
  • TX RA
    APPROVED
    Since 2024-09-06

Branch Locations

200 Waterboro Rd., Alfred, ME 04002 • United States

1288 Roosevelt Trail, Raymond, ME 04071 • 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
Modern Woodmen Of America Rock Island IL 10/1992 Present
Mwa Financial Services, Inc. Rock Island IL 10/2002 09/2024
Monroe Financial Alfred ME 01/1992 Present
Shiloh Corp. Alfred ME 01/2002 Present
Cambridge Investment Research, Inc. Fairfield IA 09/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2024 Present
  • 10/1992 → Present
    Modern Woodmen Of America
    Rock Island, IL
  • 10/2002 → 09/2024
    Rock Island, IL
  • 01/1992 → Present
    Monroe Financial
    Alfred, ME
  • 01/2002 → Present
    Shiloh Corp.
    Alfred, ME
  • 09/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 09/2024 → Present
    Fairfield, IA
Previous Registrations
  • 2010-06-24 → 2024-09-13
    Estero, FL
    Alfred, ME
    Alfred, ME
    Westbrook, ME
    Scarborough, ME
  • 2002-07-02 → 2002-11-06
    Eastern Point Advisors Inc.
    Alfred, ME
Other Businesses

1) MONROE & CONLEY FINANCIAL GROUP, 200 WATERBORO RD ALFRED ME, 09/2024, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 2) SHILOH CORP, 200 WATERBORO RD ALFRED ME, 01/2002, OWNER, HOLDING COMPANY, NIR, 5 HR/MO 2 HR/MO TRADING 3) DBA MONROE FINANCIAL, 200 WATERBORO RD ALFRED ME, 09/2024, OWNER, DBA, NIR, 0 HR/MO 0 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING 09/2024 5) MONROE & CONLEY FINANCIAL GROUP (ASH BROKERAGE), 200 WATERBORO RD ALFRED ME, 09/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 160 HR/MO 160 HR/MO TRADING 6) RIVER OF LIFE CHURCH, PO BOX 392 SANFORD ME, 01/2003, BOARD MEMBER, RELIGIOUS ORGANIZATION, NIIR, 10 HR/MO 3 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-12-21
S65 Uniform Investment Adviser Law Examination 1999-12-11
  • S63 Uniform Securities Agent State Law Examination
    1999-12-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-11
Designations

View on SEC IAPD

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