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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 2017-01-03
OH RA APPROVED 2008-10-06
  • TX RA
    APPROVED
    Since 2017-01-03
  • OH RA
    APPROVED
    Since 2008-10-06

Branch Locations

8170 Corporate Park Dr Suite 210, Cincinnati, OH 45242 • United States

Cincinnati, OH • 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
Cambridge Investment Research, Inc Fairfield IA 10/2008 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2008 Present
Previous Registrations
  • 2008-01-04 → 2008-10-31
    Interocean Wealth Management Llc
    Chicago, IL
  • 2006-08-07 → 2008-01-28
    Blue Ash, OH
    Fort Mill, SC
    Cincinnati, OH
  • 2006-03-06 → 2006-10-12
    Ken Byers & Associates
    Cincinnati, OH
  • 2002-02-15 → 2006-08-11
    Blue Ash, OH
Other Businesses

1)schauer financial - INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)notary public 8170 corporate park dr, ste 210, CINCINNATI, OH 45241. BEGAN 7/15/2004 AS NOTARY PULIC, OCCASIONAL NOTARY STAMP PROVIDED FOR OUR OHIO CLIENTS (AVERAGING LESS THAN ONCE/YEAR). INVESTMENT RELATED. DEVOTES 0 HRS/YR. NONE DURING TRADING. NON-PROFIT ORGANIZAITON. 3)AFFINITY WEALTH ADVISORS INC. 8170 corporate park dr, ste 210, cincinnati, oh, 11/11/11 AS MEMBER of securities dba; inv rel - 50 HRS/YR - 0/TRADING. 4.SOCIETY OF RESEARCH ADMINISTRATORS INTERNATIONAL, 1560 WILSON BLVD, STE 310, ARLINGTON, VA, 7/2018 AS EVENT PHOTOGRAPHER. NIR - 6/YR - 0/TRADING. 5. CIRA, 1776 PLEASANT PLAIN, FAIRFIELD, IA AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-01-21
  • S63 Uniform Securities Agent State Law Examination
    1993-01-21
Designations
Other Names
  • Alan Schauer

View on SEC IAPD

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