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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 2025-05-12
CO RA APPROVED 2021-04-23
  • TX RA
    APPROVED
    Since 2025-05-12
  • CO RA
    APPROVED
    Since 2021-04-23

Branch Locations

9175 E. Kenyon Ave Suite 100, Denver, CO 80237 • 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
Lincoln Financial Securities Corporation Denver CO 11/2012 04/2021
Cambridge Investment Research, Inc. Fairfield IA 04/2021 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2021 Present
  • 11/2012 → 04/2021
    Lincoln Financial Securities Corporation
    Denver, CO
  • 04/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 04/2021 → Present
    Fairfield, IA
Previous Registrations
  • 2012-11-02 → 2021-04-27
    Osaic Fs, Inc.
    Denver, CO
    Radnor, PA
    Denver, CO
  • 2005-09-02 → 2012-10-19
    First Command Brokerage Services, Inc.
    Aurora, CO
    Aurora, CO
    Denver, CO
    Aurora, CO
  • 2005-01-04 → 2005-09-02
    First Command Bank
    Fort Worth, TX
Other Businesses

1) CANYONERO SERVICES, INC, 3104 S COLUMBINE ST, DENVER, CO, 11/2012, OWNER, DBA, NIR, 0 HR/MO, 0 HR/MO TRADING. 2) LOTUS FINANCIAL PARTNERS, 9175 E KENYON AVE, DENVER, CO, 11/2012, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 5 HR/MO, 5 HR/MO TRADING. 3) THE INTERNTIONAL ADVISOR, 9175 E KENYON AVE, DENVER, CO, 07/2015, PRACTICE MANAGEMENT COACHING, CONSULTANT, NIR, 40 HR/MO, 40 HR/MO TRADING. 4) KENYONERO PROPERTIES LLC, 9175 E KENYON AVE, DENVER, CO, 09/2020, OWNER, COMMERCIAL PROPERTY MANAGEMENT, NIR, 3 HR/MO, 0 HR/MO TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 04/2021, INVESTMENT ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-18
S63 Uniform Securities Agent State Law Examination 2004-05-04
  • S65 Uniform Investment Adviser Law Examination
    2004-11-18
  • S63 Uniform Securities Agent State Law Examination
    2004-05-04
Designations
Other Names
  • Lucila Ann Williams
  • Lucila Ann Guzman
  • Lucila Ann Romine
  • Lucila Ann Peterson

View on SEC IAPD

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