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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
TX RA APPROVED_RES 2018-05-23
  • CA RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2018-05-23

Branch Locations

2010 Crow Canyon Place Ste 100, San Ramon, CA 94583 • 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
U.S. Bancorp Investments, Inc. San Ramon CA 01/2014 05/2018
Cambridge Investment Research, Inc. Fairfield IA 05/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2018 Present
Previous Registrations
  • 2014-05-19 → 2018-05-30
    Danville, CA
    Dublin, CA
    Oakland, CA
    Pleasanton, CA
    Oakland, CA
    Hayward, CA
    Hayward, CA
    Hayward, CA
    San Ramon, CA
    San Ramon, CA
    Antioch, CA
    Hayward, CA
    San Ramon, CA
    Pleasanton, CA
    Walnut Creek, CA
    Oakland, CA
    Oakland, CA
Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 0/TRADING. 3.RENTAL PROPERTY OWNER, DANVILLE, CA, 05/2018. RENTAL PROPERTY OWNER. NIR-5/YR-0/TRADING. 4.FIRST SEQUOIA FINANCIAL, LLC, 2010 Crow Canyon Place, Ste#100, San Ramon CA, 12/2022, Owner, Owner/Partner of a Business Entity/dba, NIR, 40 HR/MO, 40 HR/MO Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-16
S63 Uniform Securities Agent State Law Examination 2000-05-12
  • S66 Uniform Combined State Law Examination
    2014-05-16
  • S63 Uniform Securities Agent State Law Examination
    2000-05-12
Other Names
  • Henry Hon

View on SEC IAPD

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