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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2019-08-23
  • MD RA
    APPROVED
    Since 2019-08-23

Branch Locations

10441 Racetrack Rd Unit #1, Berlin, MD 21811 • United States

525 Naylor St, Salisbury, MD 21804 • 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 Advisors, Inc. Fairfield IA 05/2019 Present
Cambridge Investment Research, Inc. Fairfield IA 05/2019 Present
Kim & Associates, Pa Salisbury MD 04/2001 Present
Other Businesses

1. KIM & ASSOCIATES PA, 525 NAYLOR ST, SALISBURY, MD, 04/2001. PRINCIPAL, CPA FIRM. NIR-40/WK-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 09/03/19 3. Phoenix Property Investment, LLC, Salisbury MD 21804, 11/21/2022, Owner, Real Estate, NIR, 20 HR/MO - 20 HR/MO TRADING 4. Coastal Hospice, Inc, Salisbury MD 21804, 11/21/2022, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO - 2 HR/MO TRADING 5. Skyloft Properties, LLC, Salisbury MD 21804, 11/21/2022, Agent, Administrative, NIR, 1 HR/MO - 1 HR/MO TRADING 6. Community Foundation of the Eastern Shore, inc, Salisbury MD 21804, 11/21/2022, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO - 2 HR/MO TRADING 7. OC Investment Group, LLC, Salisbury MD 21804, 11/21/2022, Agent, Administrative, NIR, 1 HR/MO - 1 HR/MO TRADING 8. Old Landing, LLC, Salisbury, MD 21804, 11/2022, Owner, Real Estate, NIR, 2 HR/MO - 2 Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-08-23
  • S65 Uniform Investment Adviser Law Examination
    2019-08-23

View on SEC IAPD

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