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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-02 |
| NY | RA | APPROVED | 2025-06-18 |
Branch Locations
21 Bennetts Rd. Ste. 201 B, Setauket, NY 11733 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 09/2012 | 06/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 06/2025 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 06/2025 | Present |
1. FGS FINANCIAL, INC. & FRANCIS G. SMITH, 21 Bennetts Rd Ste 201B, Setauket NY 11733, United States, 06/01/2025, Agent, Insurance/Benefits/Human Resources, INV REL, 5 HR/MO - 5 HR/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. 06/18/2025
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-04-27 |
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