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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-20
NY RA APPROVED 2024-08-05
  • FL RA
    APPROVED
    Since 2025-01-20
  • NY RA
    APPROVED
    Since 2024-08-05

Branch Locations

Daytona, FL • United States

200 Motor Pkwy Suite A5, Hauppauge, NY 11788 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurance Company New York NY 12/1992 05/2021
Self-Employed Hauppauge NY 07/1990 Present
American Portfolios Financial Services, Inc. Holbrook NY 08/2012 05/2021
Joey Hatzfeld (Rental Real Estate) Scranton PA 08/2020 Present
Lpl Financial Llc Melville` NY 05/2021 08/2024
Cambridge Investment Research, Inc. Fairfield IA 08/2024 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2024 Present
  • 12/1992 → 05/2021
    Guardian Life Insurance Company
    New York, NY
  • 07/1990 → Present
    Self-Employed
    Hauppauge, NY
  • 08/2012 → 05/2021
    American Portfolios Financial Services, Inc.
    Holbrook, NY
  • 08/2020 → Present
    Joey Hatzfeld (Rental Real Estate)
    Scranton, PA
  • 05/2021 → 08/2024
    Melville`, NY
  • 08/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2024 → Present
    Fairfield, IA
Previous Registrations
  • 2021-05-26 → 2024-08-09
    Hauppauge, NY
    San Diego, CA
    Melville, NY
  • 2012-08-31 → 2021-05-27
    American Portfolios Advisors, Inc
    Holbrook, NY
Other Businesses

1) GUARDIAN RETIRED AGENT, 200 MOTOR PARKWAY SUITE A5 HAUPPAUGE NY, 12/1992, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENT, INV REL, 5 HR/MO 5 HR/MO TRADING 2) CASTLE WEALTH STRATEGIES LLC, 200 MOTOR PARKWAY SUITE A5 HAUPPAUGE NY, 12/2010, OWNER, DBA, INV REL, 40 HR/MO 20 HR/MO TRADING 3) FERRO FOUNDATION, 4 MEADOW LARK DR E NORTHPORT NY, 12/2021, BOARD MEMBER, NON-PROFIT, NIR, 1 HR/MO 0 HR/MO TRADING 4) JOEY HATZFELD, 4 MEADOW LARK DR E NORTHPORT NY, 03/2022, OWNER, REAL ESTATE, NIR, 2 HR/MO 0 HR/MO TRADING 5) JOEY HATZFELD - INSURANCE, 200 MOTOR PARKWAY SUITE A5 HAUPPAUGE NY, 07/1990, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 20 HR/MO 10 HR/MO TRADING 6) HALIFAX LANDING HOA, 2801 S RIDGEWOOD AVE UNIT 1114 DAYTONA FL, 04/2024, COMMITTEE MEMBER, HOA, NIR, 2 HR/MO 0 HR/MO TRADING 7) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 08/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-21
S63 Uniform Securities Agent State Law Examination 1990-11-26
  • S65 Uniform Investment Adviser Law Examination
    1999-09-21
  • S63 Uniform Securities Agent State Law Examination
    1990-11-26
Designations

View on SEC IAPD

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