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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2020-06-08
  • SC RA
    APPROVED
    Since 2020-06-08

Branch Locations

102 Renaissance Circle, Mauldin, SC 29662 • 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
Ameritas Investment Corp Lincoln NE 06/2017 10/2017
Ameritas Life Insurance Corp Lincoln NE 06/2017 10/2017
Spartanburg District 7, Ep Todd School Spartanburg SC 07/2016 Present
Raiser, Llc Simpsonville SC 10/2016 Present
Capital Choice Charlotte NC 08/2016 10/2017
Cambridge Investment Research, Inc. Fairfield IA 10/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2020 Present
  • 06/2017 → 10/2017
    Ameritas Investment Corp
    Lincoln, NE
  • 06/2017 → 10/2017
    Ameritas Life Insurance Corp
    Lincoln, NE
  • 07/2016 → Present
    Spartanburg District 7, Ep Todd School
    Spartanburg, SC
  • 10/2016 → Present
    Raiser, Llc
    Simpsonville, SC
  • 08/2016 → 10/2017
    Capital Choice
    Charlotte, NC
  • 10/2017 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2020 → Present
    Fairfield, IA
Other Businesses

1. UBER TECHNOLOGIES, 1455 MARKET ST, FL 4, SAN FRANCISCO, CA, 9/2016 AS DRIVER. NIR - 10/WK - 0/TRADING. 2. SMARTPRO FINANCIAL LLC, 32 N MAIN ST, STE 102, BELMONT, NC, AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.11/07/18, NIR, 10/WK - 10/TRADING. 3. IMMANUEL LUTHERAN CHURCH, 2820 WOODRUFF RD, SIMPSONVILLE, SC, 9/2018 AS MUSIC DIRECTOR. NIR - 5/WK - 0/TRADING. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/16/20 5. THOMAS PUGH, REAL ESTATE AGENT, 102 W. STONE AVE, GREENVILLE, SC., NIR, 09/09/2021, 160HR/MONTH, 80HR/MONTH TRADE. 6. SMARTPRO FINANCIAL, 2752 Pleasant Rd., Ste. 108, Ft Mill SC 29708, 06/2020, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-04
S63 Uniform Securities Agent State Law Examination 2016-06-29
  • S65 Uniform Investment Adviser Law Examination
    2020-06-04
  • S63 Uniform Securities Agent State Law Examination
    2016-06-29
Other Names
  • Thomas David Pugh
  • T Dave Pugh
  • Thomas Pugh

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