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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-07-08
MN RA APPROVED 2019-07-02
  • TX RA
    APPROVED_RES
    Since 2019-07-08
  • MN RA
    APPROVED
    Since 2019-07-02

Branch Locations

Lakeville, MN • United States

107 Central Ave. N, New Prague, MN 56071 • United States

205 3Rd Street W. Suite A, Northfield, MN 55057 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ica New Prague MN 02/2003 10/2017
Scf Securities, Inc. Fresno CA 10/2017 06/2019
Scf Investment Advisors, Inc. Fresno CA 10/2017 06/2019
Cambridge Investment Research Advisors, Inc Fairfield IA 07/2019 Present
Cambridge Investment Research, Inc Fairfield IA 07/2019 Present
  • 02/2003 → 10/2017
    Ica
    New Prague, MN
  • 10/2017 → 06/2019
    Scf Securities, Inc.
    Fresno, CA
  • 10/2017 → 06/2019
    Scf Investment Advisors, Inc.
    Fresno, CA
  • 07/2019 → Present
    Fairfield, IA
  • 07/2019 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
Previous Registrations
  • 2017-10-10 → 2019-06-28
    Scf Investment Advisors, Inc.
    Northfield, MN
    San Diego, CA
  • 2004-03-01 → 2017-10-11
    Investment Centers Of America, Inc.
    Northfield, MN
    New Prague, MN
    Northfield, MN
    New Prague, MN
Other Businesses

1) FUNDUM PROPERTIES LLC, WEBSTER MN, 06/2014, OWNER, REAL ESTATE, NIR, 20 HR/MO 0 HR/MO TRADING 2) EDEN INC, 125 SECURITY PLACE COOKVILLE TN, 04/2014, BOARD MEMBER, NIR, 5 HR/MO 0 HR/MO TRADING 3) DMW FINANCIAL LLC, 205 3RD ST W STE A NORTHFIELD MN, 02/2013, OWNER, ADVISORY REP OF A RIA, INV REL, 160 HR/MO 128 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 07/2019, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING 5) VOICES ADVANCING FREEDOM, AMBLEWOOD TRAIL PRIOR LAKE MN, 08/2022, COMMITTEE MEMBER, CONSTITUTIONAL EDUCATION, NIR, 12 HR/MO 0 HR/MO TRADING 6) DMW FINANCIAL LLC, 205 3RD ST W STE A NORTHFIELD MN, 01/2024, 1099 CONTRACTOR, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 2 HR/MO 2 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-08
S63 Uniform Securities Agent State Law Examination 1995-02-14
  • S65 Uniform Investment Adviser Law Examination
    1999-12-08
  • S63 Uniform Securities Agent State Law Examination
    1995-02-14
Other Names
  • Diane Lynn Weyrick
  • Diane Lynn Moen

View on SEC IAPD

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