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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 2023-10-20
MD RA APPROVED 2010-12-07
  • TX RA
    APPROVED
    Since 2023-10-20
  • MD RA
    APPROVED
    Since 2010-12-07

Branch Locations

2007 Tidewater Colony Dr. Ste 2B, Annapolis, MD 21401 • 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 12/2010 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 12/2010 Present
Previous Registrations
Other Businesses

1) CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS INC INV REL: N ADD: 1425 K STREET NW SUITE 500 WASHINGTON DC NATURE: TO BENEFIT PUBLIC BY GRANTING THE CFP DESIGNATION AND UPHOLDING IT AS THE RECOGNIZED STANDARD OF EXCELLENCE FOR PERSONAL FINANCIAL PLANNING POSITION: CFO START DATE:11/30/09 HR/MO:200 HR/MO D TRAD:200 DUTIES: RESPONSIBLE FOR ALL FINANCIAL ACTIVITIES OF THE CFP BOARD 2) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) CPA/ENROLLED AGENT/TAX PREPARER/ACCOUTING SERVICES, 1610 W ST # 105 ANNAPOLIS MD 21401, 01/1995, CPA. TAX PREPARATION, NIR, 25 HRS/YR 0 HR TRADING 4) ANNE ARUNDEL CONFLICT RESOLUTION CENTER, 2666 RIVA RD STE 130 ANNAPOLIS MD, 07/2018, TREASURER, NIR, 4 HR/MO 0 HR/MO TRADING 5) EPPING FOREST, INC 354 SEVERN ROAD ANNAPOLIS MD, COMMUNITY VOLUNTEER, 01/2005, NIR, 3 HR/MO 0 HR/MO TRADING 6) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 12/2010, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING 7) LEADING EDGE WEALTH ADVISORS LLC, 2007 TIDEWATER COLONY DRIVE SUITE 2B ANNAPOLIS MD 21401, 06/2013, SECURITIES DBA, INV REL, 160 HR/MO 160 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-21
S63 Uniform Securities Agent State Law Examination 2002-09-05
  • S66 Uniform Combined State Law Examination
    2006-12-21
  • S63 Uniform Securities Agent State Law Examination
    2002-09-05
Designations

View on SEC IAPD

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