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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2013-05-23
  • KS RA
    APPROVED
    Since 2013-05-23

Branch Locations

5301 Sw 7Th St., Topeka, KS 66606 • 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
Cambridge Investment Research Advisors, Inc Fairfield IA 01/2013 Present
American Tax Service, Inc. Topeka KS 01/2004 Present
Other Businesses

1) OWNER/SHAREHOLDER AND CEO OF AMERICAN TAX SERVICE, INC., 420 SE 29TH ST, TOPEKA, KS 66605; NOT INVESTMENT RELATED. PRIMARY SERVICES ARE TAX PREPARATION AND ACCOUNTING SERVICES. I HAVE WORKED/OWNED THE BUSINESS SINCE THE START OF 2004 AND I SPEND 200 HOURS PER MONTH AND TEN HOURS PER TRADING DAY AT THIS BUSINESS. 2) PART OWNER/MEMBER OF ATSFS, LLC, 420 SE 29TH ST, TOPEKA, KS 66605. THIS BUSINESS WOULD BE CONSIDERED INVESTMENT-RELATED AS IT SELLS TERM AND PERMANENT INSURANCE POLICIES, WHICH COULD INCLUDE FIXED ANNUITY PRODUCTS. I SPEND 5-10 HOURS PER MONTH AND LESS THAN 1 HOUR PER TRADING DAY AT THIS BUSINESS. 3) ASA MARKETING GROUP, INC (NOT INVESTMENT RELATED), 5339 SW 22ND PL, TOPEKA, KS 66614; START DATE: 9/1/12; ADVERTISING AND MARKETING FIRM; SHAREHOLDER & BOARD OF DIRECTORS; 1 HR/MO, 0 HR/MO DURING SECURITIES TRADING HRS; MARKETING AND ADVERTISING SERVICES FOR BUSINESSES. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING.05/23/13 5)I AM A SHAREHOLDER AND BOARD MEMBER OF ASA MARKETING GROUP, INC., 5339 SW 22ND PLACE, TOPEKA, KS 66614. THIS BUSIENSS IS NOT INVESTMENT RELATED. IT'S PRIMARY SERVICES ARE STRATEGIC FUNDRAISING AND ADVERTISING FOR SCHOOL DISTRICTS AND COUNTY PARKS AND RECREATION FACILITIES. THE BUSINESS ALSO PROVIDES GENERAL MARKETING AND ADVERTISING SERVICES TO BUSINESSES. I SPEND ABOUT 1 HOUR PER MONTH AND 0 HOURS PER TRADING DAY AT THIS BUSINESS. 6)INDEPENDENT INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES. 7) JKW PROPERTIES, LLC, 420 SE 29TH STREET, STE A, TOPEKA, KS, PARTNERSHIP IN A COMMERCIAL BUILDING, 03/23/18- NIR, 1/MO- 0/TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-22
  • S65 Uniform Investment Adviser Law Examination
    2013-05-22

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