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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2019-06-04
  • TN RA
    APPROVED
    Since 2019-06-04

Branch Locations

9724 Kingston Pike Ste. 701, Knoxville, TN 37922 • 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, Inc. Fairfield IA 09/2018 Present
Student Knoxville TN 09/2008 09/2018
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2019 Present
Other Businesses

1. SDP & ASSOCIATES, 9724 KINGSTON PIKE #701, KNOXVILLE, TN, 06/2019. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL- 10/WK-8/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-30/WK-25/TRADING. SEE EMPLOYMENT FOR START DATE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-16
  • S66 Uniform Combined State Law Examination
    2019-01-16

View on SEC IAPD

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