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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2024-02-05 |
Branch Locations
100 Centerview Drive Suite 249, Birmingham, AL 35216 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 03/2015 | 09/2017 |
| Wells Fargo Clearing Services, Llc | Montgomery | AL | 09/2017 | 09/2020 |
| Capital Investment Group Inc | Raleigh | NC | 09/2020 | 02/2024 |
| Capital Investment Advisory Services Llc | Raleigh | NC | 09/2020 | 02/2024 |
| Cambridge Investment Research Inc. | Fairfield | IA | 02/2024 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 02/2024 | Present |
1) LAURENCE B. TIPTON III, 110 SOUTH VIEW DR NW, HUNTSVILLE AL 35806, 02/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 8 HR/MO - 4 HR/MO TRADING 2) TIPTON ADVISORY GROUP, 110 SOUTH VIEW DR NW, HUNTSVILLE AL 35806, 20/2024, PRESIDENT, SECURITIES DBA, INV REL, 40 HR/MO - 30 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 02/2024 AS ADVISORY REP OF AN RIA. INV REL, 160 HR/MO, 120 HR/MO TRADING 4) PROSPER FINANCIAL PLANNING, 100 Centerview Dr, Suite 249, Birmingham AL 35216, 02/2025, IAR, DBA NAME, INV REL, 150 HR/MO - 135 HR/MO TRADING. 5) TIPPER TIPTON, 204 MAIN ST MOUNTAIN BROOK AL 35213, 06/2026, AGENT, 1099, NIR, 1 HR/MO - 0 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-09 |
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