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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 2025-04-02
VA RA APPROVED 2011-11-22
  • TX RA
    APPROVED
    Since 2025-04-02
  • VA RA
    APPROVED
    Since 2011-11-22

Branch Locations

2550 Gaskins Rd, Suite B, Henrico, VA 23238 • 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
Equity Concepts Richmond VA 01/2007 Present
Cambridge Investment Research, Inc Fairfield IA 11/2011 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 11/2011 Present
Previous Registrations
  • 2008-11-03 → 2011-11-23
    Mclean, VA
    Houston, TX
    Richmond, VA
  • 2007-04-10 → 2008-11-03
    Qa3 Financial Llc
    Richmond, VA
    Omaha, NE
    Richmond, VA
Other Businesses

1) LAFAYETTE LIFE INSURANCE, 400 BROADWAY CINCINNATI OH, 01/2007, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 5 HR/WK 2 HR/TRADING 2) CANON HICKMAN, 1401 N TAFT ST APT 302 ARLINGTON VA, 01/2001, OWNER, RENTAL PROPERTY, NIR, 10 HR/YR 0 HR/TRADING 3) CAPITAL MANAGEMENT STRATEGIES, 12121 MANOR PARK DR GLEN ALLEN VA, 9/24/2009 BUSINESS ENTITY, INV REL, 0 HR/WK 0 HR/TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2011, AS ADVISORY REP OF A RIA. INV REL, 30 HR/WK 25 HR/TRADING 5) PROMISE LAND PASTURES, 9620 ADKINS RD CHARLES CITY VA, 10/2018 AS BOARD MEMBER. NIR, 5 HR/MO 0 HR/TRADING 6) EQUITY CONCEPTS, 2550 GASKINS RD HENRICO VA, 01/2007, Wealth Manager, DBA - Doing Business As, INV REL, 160 HR/MO 160 HR/MO TRADING 7) 2550 A GASKINS LLC, 2550 A GASKINS RD HENRICO VA, 10/2024, OWNER, REAL ESTATE, 1 HR/MO 0 HR/MO TRADING 8) EQUITY CONCEPTS, 2550 GASKINS RD SUITE B HENRICO VA, 10/2024, OWNER, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 9) EQUITY CONCEPTS TAX SERVICES, 2550 Gaskins Road, Suite B, Henrico VA 23238, United States, START DATE 11/2025, Owner, Tax Services, NIR, 5 HR/MO, 0 HR/MO TRADING. 10) FLYING CANON, 14531 Bud Lane, Glen Allen VA 23059, United States, 12/08/2025, Owner, Airplane Leasing company, NIR, 1 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-04-05
S65 Uniform Investment Adviser Law Examination 2007-03-30
  • S63 Uniform Securities Agent State Law Examination
    2007-04-05
  • S65 Uniform Investment Adviser Law Examination
    2007-03-30

View on SEC IAPD

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