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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-01-29
MI RA APPROVED 2017-12-01
  • TX RA
    APPROVED
    Since 2018-01-29
  • MI RA
    APPROVED
    Since 2017-12-01

Branch Locations

524 Mosher Street, Suite 100, Mt Pleasant, MI 48858 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Investments, Inc. Mt. Pleasant MI 06/2001 11/2017
Cambridge Investment Research, Inc. Fairfield IA 12/2017 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 12/2017 Present
Previous Registrations
  • 2010-12-03 → 2017-11-30
    Sii Investments, Inc.
    Mt. Pleasant, MI
    Mt. Pleasant, MI
    Mt. Pleasant, MI
Other Businesses

1.CENTRAL MICHIGAN RISK MANAGEMENT LLC, PO BOX 1783, MT PLEASANT, MI, 2/11/2013 AS PARTNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 10/WK - 0/TRADING. 2.SACRED HEART ACADEMY FOUNDATION, MT PLEASANT, MI, 7/25/2006 AS TRUSTEE/VICE PRESIDENT, THE FOUNDATION'S MISSION IS TO SUPPORT THE K-12 SCHOOL. NIR - 8/YR - 0/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. 12/01/17. 4.GENERAL FINANCIAL SERVICES INC, 524 MOSHER ST, STE 100, MT PLEASANT, MI, 6/01/2001 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/MO - 1/TRADING 5.PENN MUTUAL, 524 E MOSHER ST STE 100, MT PLEASANT MI 48858, United States, 10/15/2024, Agent, Insurance/Benefits/Human Resources, NIR, 1HR/MO - 1HR/TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-30
S65 Uniform Investment Adviser Law Examination 2001-01-30
S63 Uniform Securities Agent State Law Examination 1995-06-02
  • S66 Uniform Combined State Law Examination
    2010-11-30
  • S65 Uniform Investment Adviser Law Examination
    2001-01-30
  • S63 Uniform Securities Agent State Law Examination
    1995-06-02

View on SEC IAPD

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