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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-09 |
| TX | RA | APPROVED | 2019-10-22 |
Branch Locations
2452 State Route 9 Ste. 204, Malta, NY 12020 • United States
Round Lake, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equity Services Inc | Montpelier | VT | 09/2003 | 10/2019 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 10/2019 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 10/2019 | Present |
1)Retirement Theory, 2452 Route 9, Ste. 204, Malta, 10/2019, Owner. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10 HR/WK - 10/TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK -40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3)Taylor and Leonard, 553 Glen St., Glens Falls, NY 12801, 4/2013 as INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1 HR/MN - 1/TRADING. 4) RETIREMENT THEORY, 2452 STATE ROUTE 9, STE 204, MALTA, NY, CPA/ENROLLED AGENT/TAX PREP/ACCOUNTING SERVICES, 08/10/20, INV REL, 5/WK- 5/TRADING 5) NATIONAL LIFE, 1 NATIONAL LIFE DR, MONTPELIER, VT, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 09/11/03, NIR, 10/MO- 9/TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-10 |
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