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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2017-01-02
  • GA RA
    APPROVED
    Since 2017-01-02

Branch Locations

One Concourse Parkway Ste. 185, Atlanta, GA 30328 • 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
Commonwealth Financial Network Atlanta GA 04/2016 11/2017
Fujiyama Wealth Management Atlanta GA 11/2017 Present
Cambridge Investment Research, Inc. Fairfield IA 01/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2018 Present
Previous Registrations
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) FUJIYAMA WEALTH MANAGEMENT, Atlanta NV 30328, United States, 01/02/2018, W2 Employee, DBA Name, INV REL, 160HR/MO - 120HR/TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-14
S63 Uniform Securities Agent State Law Examination 2013-02-15
  • S65 Uniform Investment Adviser Law Examination
    2014-01-14
  • S63 Uniform Securities Agent State Law Examination
    2013-02-15
Designations
Other Names
  • Chris Pena

View on SEC IAPD

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