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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2019-10-02
  • WI RA
    APPROVED
    Since 2019-10-02

Branch Locations

2301 Sun Valley Drive #301, Delafield, WI 53018 • 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
Cambridge Investment Research Inc Fairfield IA 07/2013 Present
Provident Financial, Llc Minneapolis MN 01/2009 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2019 Present
Previous Registrations
  • 2014-02-05 → 2019-09-23
    Capstone Advisory Group Llc
    Edina, MN
    Delafield, WI
    Edina, MN
    Edina, MN
  • 2013-12-23 → 2014-12-31
    Meric Capital Management, Llc
    Minneapolis, MN
  • 2011-06-13 → 2013-07-02
    Minneapolis, MN
  • 2009-01-08 → 2011-02-11
    Qa3 Financial Llc
    Minneapolis, MN
    Burnsville, MN
    Omaha, NE
  • 2006-09-28 → 2008-12-31
    Burnsville, MN
Other Businesses

1)PROVIDENT FINANCIAL, 2301 SUN VALLEY DR #301, DELAFIELD, WI, 1/2000 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 40 HR/WK - 40/TRADING. 2)CUSTOM CLASSIC WARBIRDS, 2129 N WATERSTONE CIR, OCONOMOWOC, WI; AIRCRAFT MANUFACTURING AND SALES, OWNER, NIR, BEGAN 1/1/05 AS OWNER; DEVOTES 5 HR/YR, NONE DURING TRADING. 3)AVIATION PROPERTIES LLC, 1759 RIVER DR, WATERTOWN, WI, 1/2018, AS PART OWNER IN LLC THAT OWNS AIRPLANE HANGAR, NIR, 1 HR/MO - 0 HR/MO trading. 4)EAA CHAPTER 320, 1785 RIVER DR, WATERTOWN, WI, 12/01/2018. PRESIDENT, EXPERIMENTAL AIRCRAFT ASSOCIATION, NON-PROFIT. NIR-5/MO-0/TRADING. 5)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-5/YR-20/TRADING. 10/02/2019. 6)E-STORE LLC, 2129 N Waterstone Cir, Oconomowoc WI 53066, 11/01/2024, Owner, Retail Sales/Distribution, NIR, 1 HR/MO, 0 HR/MO TRADING. 7)PROVIDENT FINANCIAL, 2301 Sun Valley Drive #301, Delafield WI 53018, 07/2013, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-17
S63 Uniform Securities Agent State Law Examination 2000-01-13
  • S65 Uniform Investment Adviser Law Examination
    2010-09-17
  • S63 Uniform Securities Agent State Law Examination
    2000-01-13

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