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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-12-17
  • GA RA
    APPROVED
    Since 2025-12-17

Branch Locations

3790 Holcomb Bridge Road #103, Norcross, GA 30092 • United States

John Creek, GA • 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
Shalin Financial Services Norcress GA 09/2001 Present
Dempsey Lord Smith, Llc Rome GA 01/2015 11/2025
Cambridge Investment Research, Inc. Fairfield IA 11/2025 Present
Dempsey Lord Smith, Ll Rome GA 11/2025 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2025 Present
Previous Registrations
  • 2015-01-07 → 2025-12-31
    Marietta, GA
    Norcross, GA
    Rome, GA
    Rome, GA
    Rome, GA
    Rome, GA
    Norcross, GA
  • 2010-01-11 → 2014-12-31
    Resource Horizons Investment Advisory, Inc.
    Norcross, GA
  • 2007-09-06 → 2010-01-04
    Sii Investments, Inc.
    Parma, OH
    Norcross, GA
  • 2003-09-10 → 2007-08-27
    Fsc Securities Corporation
    Norcross, GA
Other Businesses

1) NORTHCREEK OFFICE CONDO ASSOCIATION - TREASURER BOOKKEEPER, NO INCOME, 1 HOUR/MONTH. 2) GEORGIA HEALTH BENEFITS.COM - AGENT BROKER INVOLVED IN SALES OF EMPLOYEE BENEFITS AND FIXED INSURANCE PRODUCTS. 3) RAJESH JYOTISHI, 675 Lake Medlock Dr, Johns Creek GA 30022, United States, 05/01/2000, Self as a musician, Arts/Performing Arts, NIR, 0 HR/MO - 0 HR/MO TRADING 4) SHALIN FINANCIAL SERVICES, INC., 3790 Holcomb Bridge Rd #103, Norcross GA 30092, United States, 05/01/1995, President, Insurance/Benefits/Human Resources, NIR, 70 HR/MO - 70 HR/MO TRADING 5) WRITING A BOOK ON RETIREMENT AND ESTATE PLANNING FOR INDIAN/AMERICANS. WILL BE PUBLISHED BY ADVANTAGE MEDIA AND WILL SUBMIT FOR APPROVAL PRIOR TO PUBLISHING. 6) INSURANCEWALA, INSURANCE WEBSITE AND BRAND 7) MEDRATES, LLC, 3790 Holcomb Bridge Rd #103, Norcross GA 30092, United States, 10/01/2023, President, Marketing, NIR, 70 HR/MO - 70 HR/MO TRADING 8) CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, United States, 11/21/2025, Investment Advisor Representative, CIRA Affiliation, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-04
S63 Uniform Securities Agent State Law Examination 1992-03-27
  • S65 Uniform Investment Adviser Law Examination
    1997-11-04
  • S63 Uniform Securities Agent State Law Examination
    1992-03-27

View on SEC IAPD

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