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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-03-01 |
| CO | RA | APPROVED | 2020-11-17 |
Branch Locations
350 Indiana Street, Suite 730, Golden, CO 80401 • United States
Lawrence,, KS • United States
13984 W Bowles Ave., #200, Littleton, CO 80127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 12/2013 | Present |
| Strategic Exit, Llc | Lakewood | CO | 09/2013 | Present |
| Cambridge Investment Research Advisors Inc. | Fairfield | IA | 11/2020 | Present |
1) HEATON PRINCIPAL SERVICES LLC, 434 THREE FORKS DRIVE LAWRENCE KS, 12/2015, OWNER, Using a Trade Name / DBA, INV REL,150 HR/MO 150 HR/MOTRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING, 11/2020 3) PREFERRED PARTNERS, 350 Indiana Street, Suite 730, Golden CO 80401, United States, 01/18/2024, AGENT, DBA, INV REL, 40 HR/MO 40 HR/MO TRADING 4) HEATON PRINCIPAL SERVICES, LLC, 434 Three Forks Drive, Lawrence KS 66049, 12/2015, Owner, DBA Name, NIR, 150 HR/MO, 150 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-30 |
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