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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2016-08-30
  • NJ RA
    APPROVED
    Since 2016-08-30

Branch Locations

2125 Center Avenue, Ste. 203, Fort Lee, NJ 07024 • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ac Financial Advisory Group, Llc Danbury CT 01/1993 Present
Cambridge Investment Research, Inc Fairfield IA 08/2014 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2014 Present
Previous Registrations
  • 2003-04-21 → 2014-08-19
    Danbury, CT
    Danbury, CT
    Danbury, CT
    Saint Louis, MO
    Danbury, CT
    Danbury, CT
  • 2009-07-02 → 2014-02-11
    Ac Financial Advisory Group, Llc
    Danbury, CT
  • 1995-03-03 → 2002-12-31
    Danbury, CT
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) AC FINANCIAL ADVISORY GROUPP, 2125 Center Avenue, Suite 203, Fort Lee NJ 07024, United States, 01/1993, Agent, Insurance/Benefits/Human Resources, IR, 5 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-20
S63 Uniform Securities Agent State Law Examination 1993-06-07
  • S65 Uniform Investment Adviser Law Examination
    1999-09-20
  • S63 Uniform Securities Agent State Law Examination
    1993-06-07
Designations

View on SEC IAPD

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