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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2016-01-06
TX RA APPROVED_RES 2016-01-04
  • KY RA
    APPROVED
    Since 2016-01-06
  • TX RA
    APPROVED_RES
    Since 2016-01-04

Branch Locations

7600 W. Hwy 146 Suite 400, Pewee Valley, KY 40056 • 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
Bankers Life And Casualty Company Louisville KY 10/2006 Present
Cambridge Investment Research, Inc. Fairfield IA 01/2016 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2016 Present
Previous Registrations
  • 2010-05-24 → 2015-12-31
    Concourse Financial Group Securities, Inc.
    Louisville, KY
    Birmingham, AL
    Louisville, KY
  • 2006-11-01 → 2010-05-14
    Uvest Financial Services Group, Inc.
    Louisville, KY
    Louisville, KY
    Charlotte, NC
  • 2003-07-07 → 2006-10-18
    Ameriprise Advisor Services, Inc.
    Louisville, KY
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
  • 2003-03-07 → 2003-07-09
    West Palm Beach, FL
Other Businesses

1.Independent insurance agent, 7600 W HWY 146, STE 400, PEWEE VALLEY, KY for various independent insurance companies. INV REL - 5 HR/WK - 0/TRADING. 2.WAGNER FINANCIAL, LLC, 14405 ACADEMY RIDGE BLVD, LOUISVILLE, KY, 12/2010 AS FINANCIAL PROFESSIONAL UTILIZING DBA NAME. NIR - 1 HR/MO - 0/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 15 HR/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4.BUSINESS NETWORKING INTERNATIONAL (BNI), 7600 W Hwy 146, Suite 400, Pewee Valley KY 40056, United States, 10/01/2023, President, Networking, NIR, 6 HR/MO - 0 HR/MO TRADING 5.LONGROAD WEALTH MANAGERS, 7600 W Hwy 146, Suite 400, Pewee Valley KY 40056, 1/2016, USING A TRADE NAME/DBA, NIR, 0 HR/MO - 0 HR TRADING 6.LAKEWOOD BAPTIST CHURCH, Louisville KY 40245, United States, 01/01/2022, Elder, Minister, NIR, 8 HR/MO 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-06
S63 Uniform Securities Agent State Law Examination 2000-02-29
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    2000-02-29
Other Names
  • Stanley Gene Wagner

View on SEC IAPD

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