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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-10-13
  • TX RA
    APPROVED
    Since 2017-10-13

Branch Locations

5000 Riverside Dr. Building 6, Suite 100E, Irving, TX 75039 • United States

Colleyville, TX • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Plano TX 02/2016 06/2017
Onpointe Advisory And Financial Services Llc Petaluma CA 06/2017 09/2017
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 Present
Cambridge Investment Research, Inc. Fairfield IA 09/2018 Present
  • 02/2016 → 06/2017
    Ameriprise Financial Services, Inc.
    Plano, TX
  • 06/2017 → 09/2017
    Onpointe Advisory And Financial Services Llc
    Petaluma, CA
  • 10/2017 → Present
    Fairfield, IA
  • 09/2018 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2017-06-20 → 2017-09-20
    Onpointe Advisory And Financial Services, Llc
    Richardson, TX
    Petaluma, CA
  • 2016-03-01 → 2017-06-05
    Plano, TX
Other Businesses

1.THE DFS GROUP LLC, 2425 NORTH CENTRAL EXPRESSWAY STE 700, RICHARDSON, TX, 9/2017 AS VICE PRESIDENT/MANAGING PARTNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 3/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. THE DFS INSURANCE GROUP, 2425 NORTH CENTRAL EXPRESSWAY, STE 700, RICHARDSON, TX, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 06/29/20, NIR, 10/WK- 2/TRADING 4. THE DFS GROUP, 5000 Riverside Drive, Suite 100E, Irving, TX 75039, United States, 10/17/2017, Owner, DBA Name, NIR, 0 HR/MO - 0 HR/MO TRADING 5. THE DFS FINANCIAL GROUP LLC, 5000 Riverside Drive, Building 6, Ste 100E, Irving TX 75039, United States, 10/25/2024, President, Owner/Partner of a Business Entity, NIR, 800HR/MO- 130HR/TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-02-27
S63 Uniform Securities Agent State Law Examination 2016-02-27
  • S65 Uniform Investment Adviser Law Examination
    2016-02-27
  • S63 Uniform Securities Agent State Law Examination
    2016-02-27
Other Names
  • Brad Wimpee
  • Bradley Scott Wimpee

View on SEC IAPD

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