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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-12-02
  • CT RA
    APPROVED
    Since 2025-12-02

Branch Locations

55 Hartland St. Ste. 402, East Hartford, CT 06108 • 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
Securities Service Network, Inc. Glastonbury CT 01/2000 09/2020
Financial Vision Advisory Services, Llc East Hartford CT 05/2002 04/2026
Financial Vision, Llc East Hartford CT 11/2001 Present
Securities America, Inc. East Hartford CT 09/2020 06/2024
Osaic Wealth, Inc. East Hartford CT 06/2024 12/2025
Cambridge Investment Research, Inc. Fairfield IA 12/2025 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2025 Present
  • 01/2000 → 09/2020
    Securities Service Network, Inc.
    Glastonbury, CT
  • 05/2002 → 04/2026
    Financial Vision Advisory Services, Llc
    East Hartford, CT
  • 11/2001 → Present
    Financial Vision, Llc
    East Hartford, CT
  • 09/2020 → 06/2024
    Securities America, Inc.
    East Hartford, CT
  • 06/2024 → 12/2025
    Osaic Wealth, Inc.
    East Hartford, CT
  • 12/2025 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 12/2025 → Present
    Fairfield, IA
Previous Registrations
  • 2003-04-08 → 2026-04-02
    Financial Vision Advisory Services, Llc
    East Hartford, CT
    East Hartford, CT
    Litchfield, CT
  • 2003-04-08 → 2003-12-31
    Financial Vision Advisory Services, Llc
    East Hartford, CT
Other Businesses

1. FINANCIAL VISION, LLC, 55 Hartland Street, Suite 402, East Hartford CT 06108, United States, 01/02/2025, President, Providing financial advice, products and services to meet the needs of clients, INVESTMENT-RELATED, 20 HR/MO - 20 HR/MO TRADING 2. DAVID M PARENT, 55 Hartland Street, Suite 402, East Hartford CT 06108, United States, 01/02/2025, Agent, Fixed Insurance, INV REL, 5 HR/MO - 5 HR/MO TRADING. 3. CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, United States, 12/02/2025, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING 4. PARENT'S FARM, LLC, 360 Silver Street, Coventry CT 06238, 06/03/2026, Owner, Agriculture, NIR, 1 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-10-01
  • S63 Uniform Securities Agent State Law Examination
    1992-10-01

View on SEC IAPD

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