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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2016-02-29 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Concepts Properties Llc | Hickory | NC | 05/2000 | Present |
| Capital Concepts | Hickory | NC | 01/2004 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 02/2016 | Present |
| Cambridge Investment Research Adivsors, Inc. | Fairfield | IA | 02/2016 | Present |
1-Capital Concepts Properties, LLC. 1155 Southgate Corp Park SW, Hickory , NC 28601, Partner, since 5/1/00, non-investment related, 1 hour yearly, no hours during trading. 2.WIND RIVER FINANCIAL, 1155 SOUTHGATE CORP PARK SW, HICKORY, NC, 10/1998 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 4/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30/WK - 22/TRADING. 02/01/16.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-25 |
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