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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-04-13
  • WA RA
    APPROVED
    Since 2021-04-13

Branch Locations

6 South 2Nd St, Suite #818, Yakima, WA 98901 • 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
Northwestern Mutual Investment Services Llc Spokane WA 08/2002 02/2018
Northwestern Mutual Life Insurance Company Spokane WA 04/2002 02/2018
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 02/2018
Cambridge Investment Research, Inc. Fairfield IA 04/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2021 Present
Previous Registrations
Other Businesses

1) RICHARD L MILLER, 6 S 2ND ST, SUITE 802, YAKIMA, WA, 03/2018, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 96 HR/MO, 72 HR/MO TRADING. 2) TOWNSQUARE MEDIA, 4010 SUMMITVIEW AVE, YAKIMA, WA, 10/1995, RADIO TALK SHOW HOST, NIR, 15 HR/MO, 0 HR/MO TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 04/2021, ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-11-25
  • S63 Uniform Securities Agent State Law Examination
    2003-11-25
Designations

View on SEC IAPD

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