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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2023-12-01
TX RA APPROVED 2023-12-01
  • MN RA
    APPROVED
    Since 2023-12-01
  • TX RA
    APPROVED
    Since 2023-12-01

Branch Locations

5 N 3Rd Ave. W Ste. 400, Duluth, MN 55802 • 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
Anderson, Kuiti & Asuma Duluth MN 01/2013 Present
Expanding Horizons, Inc. Duluth MN 01/2006 Present
Symphonic Financial Advisors Duluth MN 05/2015 12/2023
Cambridge Investment Research, Inc. Fairfield IA 12/2023 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2023 Present
  • 01/2013 → Present
    Anderson, Kuiti & Asuma
    Duluth, MN
  • 01/2006 → Present
    Expanding Horizons, Inc.
    Duluth, MN
  • 05/2015 → 12/2023
    Symphonic Financial Advisors
    Duluth, MN
  • 12/2023 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 12/2023 → Present
    Fairfield, IA
Previous Registrations
  • 2017-11-30 → 2023-12-04
    Symphonic Financial Advisors Llc
    New York, NY
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/2023, ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 2) TC STORAGE, LLC, DULUTH, MN, 12/2021, OWNER, REAL ESTATE, NIR, 1 HR/MO, 0 HR/MO TRADING. 3) CJD, LLC, 823 BELKNAP ST, SUITE 222, SUPERIOR, WI, 07/2020, OWNER, REAL ESTATE, NIR, 1 HR/MO, 0 HR/MO TRADING. 4) CDT PROPERTIES, LLC, 2600 E 2ND ST, DULUTH, MN, 06/2008, OWNER, REAL ESTATER, NIR, 0 HR/MO, 0 HR/MO TRADING. 5) GWEN PROPERTIES LLC, DULUTH, MN, 05/2013, OWNER, REAL ESTATE, NIR, 1 HR/MO, 1 HR/MO TRADING. 6) EGWEN PROPERTIES, LLC, DULUTH, MN, 05/2013, OWNER, REAL ESTATE, OWNER, REAL ESTATE, NIR, 1 HR/MO, 0 HR/MO TRADING. 7) EXPANDING HORIZONS, INC, 121 W SUPERIOR ST, DULUTH, MN, 07/2006, OWNER, ASSISTED LIVING FACILITY, NIR, 10 HR/MO, 0 HR/MO TRADING. 8) EXPANDING HORIZONS HOMES, LLC, 121 W SUPERIOR ST, DULUTH, MN, 06/2009, OWNER, REAL ESTATE, NIR, 1 HR/MO, 0 HR/MO TRADING. 9) ANDERSON, KUITI & ASUMA PLLC, 5 N 3rd Ave W, Suite 201, Duluth MN 55802, 05/01/2013, Managing Partner, Tax Services, NIR, 40 HR/MO, 40 HR/MO TRADING. 10) TIDAL WEALTH ADVISORS, 5 N 3rd Ave W, Suite 400, Duluth MN 55802, United States, 12/01/2023, Investment Advisor Representative, DBA Name, INV REL, 20 HR/MO - 20 HR/MO TRADING 11) ANDERSON, KUITI & ASUMA PLLC, 5 N 3rd Ave W, Suite 201, Duluth MN 55802, 05/2013, Certified Public Accountant, Tax Services, NIR, 40 HR/MO, 40 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-13
S63 Uniform Securities Agent State Law Examination 1993-02-01
  • S66 Uniform Combined State Law Examination
    2016-12-13
  • S63 Uniform Securities Agent State Law Examination
    1993-02-01

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