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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-12-19
TX RA APPROVED_RES 2019-12-16
  • FL RA
    APPROVED
    Since 2019-12-19
  • TX RA
    APPROVED_RES
    Since 2019-12-16

Branch Locations

6365 Nw 6Th Way Suite 160, Fort Lauderdale, FL 33309 • 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
Gilman Ciocia, Inc. Poughkeepsie NY 05/2007 Present
National Securities Corporation Boca Raton FL 11/2013 12/2019
Cambridge Investment Research, Inc. Fairfield IA 12/2019 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2019 Present
  • 05/2007 → Present
    Gilman Ciocia, Inc.
    Poughkeepsie, NY
  • 11/2013 → 12/2019
    National Securities Corporation
    Boca Raton, FL
  • 12/2019 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 12/2019 → Present
    Fairfield, IA
Previous Registrations
  • 2014-05-30 → 2019-12-24
    Boca Raton, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
  • 2010-10-04 → 2014-05-06
    Asset & Financial Planning, Ltd
    Ft Lauderdale, FL
Other Businesses

1. INDEPENDENT INSURANCE AGENT 6365 NW 6TH WAY SUITE 160, FL, 12/2019, FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-8/MO-1/TRADING. 2. PREMIER TAX PLANNING LLC, 6365 NW 6TH WAY SUITE 160, FORT LAUDERDALE, FL, 06/12/2024, Owner, TAX PREPARER. NIR - 40HR/MO- 40/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-120HR/MO- 24/TRADING. 12/19/2019 4. ADP ACCOUNTANT 6365 NW 6TH WAY, STE 160, FORT LAUDERDALE, FL, CPA/ENROLLED AGENT/TAX PREP/ACCOUNTING SERVICES, 12/13/19, NIR, 5/YR- 1/TRADING 5. PREMIER WEALTH PLANNING TEAM LLC DBA PREMIER WEALTH PLANNING, 6365 NW 6th Way, Suite 160, Fort Lauderdale FL 33309, United States, 06/12/2024, Owner, Using a Trade Name/dba, INV REL, 160HR/MO- 96HR/TRADING 6. PREMIER TAX PLANNING TEAM LLC DBA PREMIER BOOKKEEPING & TAX SERVICES, 6365 NW 6th Way, Suite 160, Fort Lauderdale FL 33309, United States, Owner, Using a Trade Name/dba, NIR, 10HR/MO- 10HR/TRADING 7. INDIAN PRINCESS - APACHE TRIBE, 4211 NW 62nd Avenue, Coral Springs, FL 33067, 11/2025, Treasurer, Father and Daughter Semi-Annual Campout, NIR, 1 HR/MO, 0 HR/MO TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-25
  • S66 Uniform Combined State Law Examination
    2010-08-25

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