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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-10-13 |
Branch Locations
5000 Riverside Dr. Building 6, Suite 100E, Irving, TX 75039 • United States
Colleyville, TX • 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 |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 2016-02-27 |
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