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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2019-10-02 |
Branch Locations
2301 Sun Valley Drive #301, Delafield, WI 53018 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-13 |
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