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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
  • NY RA
    APPROVED
    Since 2021-04-19

Branch Locations

Potsdam, NY • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Edwardjones St. Louis MO 10/2002 10/2020
Cambridge Investment Research, Inc. Fairfield IA 10/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2020 Present
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 10/29/20 2) ADAPTIVE ECONOMIC STRATEGIES, LLC, 1850 County Route 35, Potsdam NY 13676, United States, 11/01/2020, Owner, Using a Trade Name/dba, NIR, 10 HR/MO - 10 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-12-12
  • S63 Uniform Securities Agent State Law Examination
    2002-12-12
Other Names
  • Gary Throop

View on SEC IAPD

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