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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 2022-12-08
  • TX RA
    APPROVED
    Since 2022-12-08

Branch Locations

Houston, TX • 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
Morgan Stanley Private Bank, N.A. Houston TX 04/2016 04/2018
Cantella & Co., Inc. Boston MA 04/2018 12/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2022 Present
Cantella & Co., Inc. Malden MA 04/2018 03/2023
  • 04/2016 → 04/2018
    Morgan Stanley Private Bank, N.A.
    Houston, TX
  • 04/2018 → 12/2022
    Cantella & Co., Inc.
    Boston, MA
  • 12/2022 → Present
    Fairfield, IA
  • 12/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 04/2018 → 03/2023
    Cantella & Co., Inc.
    Malden, MA
Previous Registrations
  • 2018-04-02 → 2023-04-03
    Cantella & Co., Inc.
    Houston, TX
    Malden, MA
  • 2016-10-28 → 2018-04-04
    Houston, TX
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 12/2022, AS ADVISORY REP OF A RIA, INV REL, 16 HR/MO 120 HR/MO TRADING 2) NATIONAL FINANCIAL CAPITAL LLC, 6607 PENNWELL DR SPRING TX 77389, 03/2020, OWNER, PASSTHROUGH ENTITY, NIR, 20 HR/MO 0 HR/MO TRADING 3) CANTELLA & CO., INC., 1917 Converse St., Houston TX 77006, United States, 12/09/2022, IAR, DBA Name, INV REL, 160 HR/MO 120 HR/MO TRADING 4) CANTELLA, 1917 Converse St., Houston TX 77006, United States, 12/09/2022, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-28
  • S66 Uniform Combined State Law Examination
    2016-10-28

View on SEC IAPD

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