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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 2016-01-04
IL RA APPROVED 2012-03-01
  • TX RA
    APPROVED
    Since 2016-01-04
  • IL RA
    APPROVED
    Since 2012-03-01

Branch Locations

555 E Butterfield Rd Ste 212, Lombard, IL 60148 • 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 03/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 03/2012 Present
Independence Capital Financial Partners Lombard IL 03/2012 Present
  • 03/2012 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 03/2012 → Present
    Fairfield, IA
  • 03/2012 → Present
    Independence Capital Financial Partners
    Lombard, IL
Previous Registrations
Other Businesses

1.INDEPENDENT CAPITAL FINANCIAL PARTNERS LLC, 555 E BUTTERFIELD RD, STE 212, LOMBARD, IL, 3/2012 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 1/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 60/MO - 6.5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3.INDEPENDENCE CAPITAL FINANCIAL PARTNERS 555 E. BUTTERFIELD RD., STE 212 LOMBARD, IL 60148. BEGAN 10/9/12 AS MENTOR WITH THE PROGRAM ASSIGNING ME TWO ELMHURST COLLEGE FINANCE STUDENTS WHERE WE MEET TO DISCUSS VARIOUS TOPICS OF INTEREST. NOT INVESTMENT RELATED. DEVOTES 2 HRS/MNTH. 1 HR DURING TRADING. 4) AML HOLDING XVII CORP, 1763 VILLANOVA DR, NAPERVILLE, IL, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 12/01/20, INV REL, PRESIDENT, 2 HR/MO- 0/TRADING HR

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-09
S63 Uniform Securities Agent State Law Examination 2003-04-17
  • S65 Uniform Investment Adviser Law Examination
    2004-03-09
  • S63 Uniform Securities Agent State Law Examination
    2003-04-17
Designations

View on SEC IAPD

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