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Current Employers
Ibn Financial Services, Inc.

404 Old Liverpool Rd, Liverpool, NY 13088 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-02-10
PA RA APPROVED 2020-11-06
  • NY RA
    APPROVED
    Since 2022-02-10
  • PA RA
    APPROVED
    Since 2020-11-06

Branch Locations

404 Old Liverpool Rd, Liverpool, NY 13088 • UNITED STATES

404 Old Liverpool Rd, Liverpool, NY 13088 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ibn Financial Services, Inc. Liverpool NY 01/2002 Present
Cambridge Investment Research, Inc. Fairfield IA 04/2025 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2025 Present
Previous Registrations
Other Businesses

1. VICTORY FOR VETS, INC., 404 Old Liverpool Rd, Liverpool NY 13088, 01/2014, Board Member, Volunteer, NIR, 4 HR/MO, 0 HR/MO TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, 4/2025, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-02-09
S63 Uniform Securities Agent State Law Examination 1991-04-01
  • S65 Uniform Investment Adviser Law Examination
    2022-02-09
  • S63 Uniform Securities Agent State Law Examination
    1991-04-01
Other Names
  • Richard James Jr Carlesco

View on SEC IAPD

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