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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-01-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Newtown | CT | 09/2005 | 01/2020 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 01/2020 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2021 | 09/2023 |
1) GWHOWARD FINANCIAL / 4 Min Street, Newtown CT 06470 / 12/14/2021 / INV REL / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES / 10HR/MO -10HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 12/23/2021 3) GWHoward Financial, Southbury, CT 06488, 10/2023, Using as a trade name/dba, INV REL, 20 HR/MO - 20 Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-27 |
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