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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_RES 2015-08-17
CA RA APPROVED 2012-02-21
  • TX RA
    APPROVED_RES
    Since 2015-08-17
  • CA RA
    APPROVED
    Since 2012-02-21

Branch Locations

2999 Douglas Blvd., Ste 180, Roseville, CA 95661 • United States

3478 Buskirk Ave Ste 1000, Pleasant Hill, CA 94523 • United States

Concord, CA • United States

111 Deerwood Rd. Ste. 200, San Ramon, CA 94583 • 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 02/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 02/2012 Present
Previous Registrations
  • 2010-02-02 → 2012-02-24
    Walnut Creek, CA
    Fullerton, CA
  • 2004-09-08 → 2010-01-26
    Msi Financial Services, Inc.
    San Jose, CA
    Lafayette, CA
Other Businesses

1) HORIZON WEALTH SOLUTIONS, 3478 BUSKIRK AVE STE 1000 PLEASANT HILL CA, 01/2010, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 7 HR/MO 4/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2010, AS ADVISORY REP OF A RIA. INV REL, 50 HR/WK 30/TRADING 3) HORIZON WEALTH SOLUTIONS, 3478 BUSKIRK AVE STE 1000 PLEASANT HILL CA, CFP, 07/2013, INV REL, 50 HR/WK 25/TRADING HR 4) SAN RAMON CHAMBER OF COMMERCE, 2410 CAMINO RAMON STE 110 SAN RAMON CA, NETWORKING LEADER, 01/2021, NIR, 6 HR/MO 3/TRADING HR 5) INSURANCE, 3478 Buskirk Avenue, Suite 1000, Pleasant Hill CA 94523, United States, 01/22/2010, Agent, Insurance/Benefits/Human Resources, NIR, 7 HR/MO - 4 HR/MO TRADING 6) BLUE DOT WEALTH MANAGEMENT, 3478 BUSKIRK AVE STE 1000 PLEASANT HILL CA 94523, 07/2023, IAR, DBA, INV REL, 170 HR/MO 120 HR/MO TRADING 7) RENTAL PROPERTY, 7237 Secret Garden Loop, Roseville CA 95747, United States, 11/15/2024, Owner, Real Estate, NIR, 4 HR/MO - 0 HR/MO TRADING 8) PROFESSIONAL WOMEN'S REFERRAL GROUP, 2820 Shadelands Drive, Walnut Creek CA 94598, 01/2025, BOARD MEMBER, MARKETING, NIR 4 HR/MO - 5 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-09-01
S63 Uniform Securities Agent State Law Examination 2004-03-26
  • S65 Uniform Investment Adviser Law Examination
    2004-09-01
  • S63 Uniform Securities Agent State Law Examination
    2004-03-26

View on SEC IAPD

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