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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-14
  • CT RA
    APPROVED
    Since 2024-11-14

Branch Locations

92 Eugene O'NEill Dr Suite 120, Ew London, CT 06320 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
H. Beck, Inc. Rockville MD 10/2003 03/2021
Grove Point Advisors, Llc Rockville MD 04/2021 11/2024
Grove Point Investments, Llc Rockville MD 04/2021 11/2024
Cambridge Investment Research, Inc Fairfield IA 11/2024 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 11/2024 Present
  • 10/2003 → 03/2021
    H. Beck, Inc.
    Rockville, MD
  • 04/2021 → 11/2024
    Grove Point Advisors, Llc
    Rockville, MD
  • 04/2021 → 11/2024
    Grove Point Investments, Llc
    Rockville, MD
  • 11/2024 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 11/2024 → Present
    Fairfield, IA
Previous Registrations
  • 2021-04-01 → 2024-11-13
    Grove Point Advisors, Llc
    Rockville, MD
    New London, CT
    Rockville, MD
  • 2003-10-22 → 2021-04-01
    Grove Point Investments, Llc
    Clinton, CT
    New London, CT
  • 2003-03-07 → 2003-10-23
    Osaic Fs, Inc.
    New London, CT
  • 2000-02-29 → 2003-03-11
    Polaris Advisory Services Inc
    New London, CT
Other Businesses

1. HABITAT FOR HUMANITY, 92 Eugene O'Neill Dr, New London CT 06320, United States, 11/01/2024, Board member, Volunteer, NIR, 2/MO - 0/Trading 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 11/11/2024 3. COUTURE TAX PLANNING SERVICES LLC, 12 Woodsea Place, Waterford CT 06385-3721, 01/2019, Owner, Tax Services, NIR, 40 HR/MO, 20 HR/MO TRADING. 4. WATERFORD LIBRARY INC, 49 Rope Ferry Rd, Waterford CT 06385, 01/2000, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 3 HR/MO, 1 HR/MO TRADING. 5. COUTURE FINANCIAL SERVICES LLC, 92 Eugene O'Neill Dr, Suite 120, New London CT 06320, 01/2024, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO, 10 HR/MO TRADING. 6. TOWN OF WATERFORD, 15 Rope Ferry Rd, Waterford CT 06385, 11/2021, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 3 HR/MO, 0 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-15
S63 Uniform Securities Agent State Law Examination 1994-07-11
  • S65 Uniform Investment Adviser Law Examination
    1999-12-15
  • S63 Uniform Securities Agent State Law Examination
    1994-07-11

View on SEC IAPD

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