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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-24 |
| NM | RA | APPROVED | 2020-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research | Fairfield | IA | 09/2019 | Present |
| Cambridge Investment Research | Fairfield | IA | 09/2019 | Present |
| Hillcrest Bank | Taos | NM | 01/2018 | 10/2019 |
| Peoples Bank | Taos | NM | 06/2002 | 01/2018 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 01/2020 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 01/02/20 2) THE HARWOOD MUSEUM OF ART, 238 LEDOUX, TAOS, NM, BOARD MEMBER OF A NON-PUBLIC ENTITY, 06/25/21, NIR, 2 HR/MO- 0/TRADING HR. 3) KNIGHT FINANCIAL, 115 La Posta, Taos NM 87571, 01/01/2022, Owner, DBA Name, NIR, 160 HR/MO, 160 HR/MO TRADING. 4) SCOTT A MCADAMS, 1900 South Blvd, Suite 300, Charlotte NC 28203, United States, 05/20/2025, Insurance Agent, Fixed Rate, NIR, 1 HR/MO, 1 HR/MO TRADING 5) TAOS COMMUNITY FOUNDATION GRANT COMMITTEE, 115 La Posta Suite A, Taos NM 87571, United States, 05/21/2025, Committee Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO, 1 HR/MO TRADING 6) HOLY CROSS HOSPTIAL ADVISORY COMMITEE MEMBER, 1397 Weimer Road, Taos NM 87571, United States, 06/16/2025, Committee Member, Healthcare, NIR, 1 HR/MO, 1 HR/MO TRADING 7) TOWN OF TAOS FINANCE COMMITTEE, 400 Camino de la Placita, Taos NM 87571, United States, 06/16/2025, Committee Member, Government/Political, NIR, 8) NOTARY PUBLIC, 115 La Posta, Suite D, Taos NM 87571, United States, 08/29/2025, Notary Public, Notary, NIR, 1 HR/MO - 1 HR/MO TRADING 9) T R ASCOT WEALTH MANAGEMENT LLC, 4 Farrell St, Ranchos de Taos NM 87557, START DATE 01/2020, Owner, DBA Name, NIR, 1 HR/MO, 1 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-12-22 |
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