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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-09 |
Branch Locations
1880 S. Dairy Ashford Rd. Suite 554, Houston, TX 77077 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 04/1990 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | E Houston | TX | 04/1990 | 07/2019 |
| Bank Of America, Na | Houston | TX | 12/2009 | 07/2019 |
| Cantella & Co., Inc. | Malden | MA | 07/2019 | 12/2022 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 12/2022 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 12/2022 | Present |
| Cantella & Co., Inc. | Walden | MA | 07/2019 | 03/2023 |
1) CIRA, Fairfield IA 52556, 12/2022, Investment Advisor Representative, Manages client assets or prepares financial plans, INV-REL, 160 HO/MO - 120 HR/MO Trading 2) KING CAPITAL ADVISORS, INC, 1880 S. Dairy Ashford Road, Suite 554, Houston TX 77077, 08/2006, Vice President, 1099 Contractor, INV REL, 160 HR/MO - 120 HR/MO TRADING.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-08-17 |
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