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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 2018-04-18
HI RA APPROVED 2018-04-17
  • TX RA
    APPROVED_RES
    Since 2018-04-18
  • HI RA
    APPROVED
    Since 2018-04-17

Branch Locations

1003 Bishop Street, #1240, HI 96813 • 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
Sii Jhfn Honolulu HI 08/2015 04/2018
Cambridge Investment Research, Inc. Fairfield IA 04/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2018 Present
Previous Registrations
  • 2015-08-03 → 2018-04-23
    Signator Investors, Inc.
    Honolulu, HI
    Honolulu, HI
    Scottsdale, AZ
  • 2009-08-03 → 2015-08-04
    Vsr Financial Services, Inc.
    Overland Park, KS
    Honolulu, HI
  • 2009-01-05 → 2009-08-25
    Associated Planners Investment Advisory Inc
    Boston, MA
  • 2008-12-12 → 2009-08-03
    Associated Securities Corp.
    Honolulu, HI
    San Mateo, CA
  • 2008-09-05 → 2008-12-16
    Signator Investors, Inc.
    Honolulu, HI
    Honolulu, HI
    Honolulu, HI
  • 2008-01-15 → 2008-08-26
    Fsc Securities Corporation
    Ewa Beach, HI
Other Businesses

1) WEALTH MANAGING PARTNERS INC, 1003 BISHOP ST, STE 1240, HONOLULU, HI, 04/2018, OWNER, DBA, INV REL, 240 HR/MO, 80 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) RENTAL PROPERTY OWNER, EWA BEACH, HI, 04/2018, NIR, 12 HR/MO, 0 HR/MO TRADING. 4) ONLINE TICKET RESALE, EWA BEACH, HI 09/2018, TICKET SALES, NIR, 1 HR/MO, 0 HR/MO TRADING. 5) NEW DAY INVESTMENTS LLC, 725 KAPIOLANI BLVD, C110, HONOLULU, HI, 01/2019, MANAGING MEMBER LLC, REAL ESTATE, NIR, 1 HR/MO, 0 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-01-14
S63 Uniform Securities Agent State Law Examination 2004-05-22
  • S65 Uniform Investment Adviser Law Examination
    2008-01-14
  • S63 Uniform Securities Agent State Law Examination
    2004-05-22
Designations

View on SEC IAPD

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