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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2006-11-17 |
Branch Locations
1143 Meriden Waterbury Turnpike, Plantsville, CT 06479 • 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 |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 11/2006 | Present |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 11/2006 | Present |
1.INDEPENDENT INSURANCE AGENT, PLAINVILLE, CT, 4/1995 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/MO - 10/TRADING. 2. GREGG KARAL, OWNER/BROKER, FIXED AND MEDICAL INSURANCE SALES AND SERVICE, NOT-INVESTMENT RELATED, SOLE PROP, SINCE 1992, 15 HOURS PER MONTH, MINIMAL HOURS DURING SECURITIES TRADING HOURS VARIES. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4.ASSOCIATED TAX, 1143 MERIDEN-WATERBURY TURNPIKE, PLANTSVILLE, CT, 01/2019. TAX PREPARER. NIR-10/WK-5/TRADING. 5.AARP TAX AIDE, 601 E STREET, WASHINGTON, DC, 01/2019. TAX PREPARER. NIR-66/YR-6/TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-05 |
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