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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2007-12-14
  • OH RA
    APPROVED
    Since 2007-12-14

Branch Locations

11427 Reed Hartman Hwy Ste 137, Cincinnati, OH 45241 • 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
Cambridge Investment Research, Inc Fairfield IA 12/2007 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 12/2007 Present
Previous Registrations
  • 2000-01-01 → 2007-12-11
    Osaic Fa, Inc.
    Cincinnati, OH
    Cincinnati, OH
Other Businesses

1) MEDICARE BACKOFFICE, 03/2022, 8420 WEST DODGE ROAD OMAHA NE 68114, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MONTH 1 HR/MONTH TRADING 2) FINANCIAL SERVICES DBA PARTNERS IN PLANNING, LLC, 11427 Reed Hartman Hwy, Cincinnati OH 45241, United States, 04/01/1992, Owner, Insurance/Benefits/Human Resources, NIR, 25 HR/MONTH 10 HR/MONTH TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-06-15
  • S63 Uniform Securities Agent State Law Examination
    1992-06-15
Designations

View on SEC IAPD

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