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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 2024-07-19
  • MD RA
    APPROVED
    Since 2024-07-19

Branch Locations

137 National Plaza Suite 300, National Harbor, MD 20745 • 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
Money Concepts Financial Planning Centre Fort Washington MD 06/1994 07/2024
Money Concepts Capital Corp North Palm Beach FL 09/1998 07/2024
Cambridge Investment Research, Inc. Fairfield IA 07/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2024 Present
Previous Registrations
  • 2002-01-01 → 2024-08-16
    Clinton, MD
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Fort Washington, MD
    Alexandria, VA
Other Businesses

1. LOVIE LEACH, 7700 Old Branch Avenue, Unit E-205, Clinton MD 20735, United States, 07/16/2024, Insurance Agent, Insurance/Benefits/Human Resources, NIR, 24 HR/MO - 18 HR/MO TRADING 2. ELLEVATION WEALTH MANAGEMENT AND LEGACY PLANNING, LLC, 7700 Old Branch Ave, Unit E-205, Clinton MD 20735, United States, 07/16/2024, Owner, Using a Trade Name/dba, NIR, 96 HR/MO - 96 HR/MO TRADING 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/19/2024 4. ELLEVATION WEALTH MANAGEMENT AND LEGACY PLANNING, LLC, 137 National Plaza, Suite 300, National Harbor MD 20745, United States, 07/16/2024, Owner, Tax Services, NIR, 96 HR/MO - 96 HR/MO TRADING 5. LOVIE LEACH, 137 National Plaza, Suite 300, National Harbor MD 20745, United States, 07/16/2024, Insurance Agent, Insurance/Benefits/Human Resources, NIR, 24 HR/MO - 18 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-03-03
S65 Uniform Investment Adviser Law Examination 2000-03-01
  • S63 Uniform Securities Agent State Law Examination
    2000-03-03
  • S65 Uniform Investment Adviser Law Examination
    2000-03-01

View on SEC IAPD

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