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6991 E Camelback Rd 300, Scottsdale, AZ 85251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2018-04-20 |
Branch Locations
6991 E Camelback Rd 300, Scottsdale, AZ 85251 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Asset Advisors | Phoenix | AZ | 01/2007 | Present |
| Cambridge Investment Research, Inc | Fairfield | IA | 03/2007 | 08/2018 |
| Cambridge Investment Research Advisers, Inc | Fairfield | IA | 03/2007 | 08/2018 |
| Capital Asset Advisors Llc | Phoenix | AZ | 01/2018 | Present |
1)THE COGGINS LLC. GLENDALE, AZ. STARTED 07/2013 AS OWNER OF A CONDO THAT IS A RENTAL UNIT. SPENDS 2 HRS/MONTH AND NONE DURING TRADING. 2)NORTHWEST VALLEY PROFESSIONALS. PHOENIX, AZ. STARTED 1/2015 AS SECRETARY/TREASURER. CONDUCTING BANKING FOR THE NETWORKING GROUP. SPENDS 1 HR/WK, 1 HR/TRADING. 3)VACATION LAND CONDO ASSOC, 10625 W COGGINS, SUN CITY, AZ, SINCE 5/2015 AS VICE PRESIDENT. NOT INVESTMENT RELATED - DEVOTES 8 HR/YR. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-27 |
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