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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-06-02 |
Branch Locations
3630 Poplar Tent Rd. Ste. C, Concord, NC 28027 • 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 |
|---|---|---|---|---|
| Securities America, Inc. | Mooresville | NC | 06/2013 | 03/2017 |
| Securities America Advisors, Inc. | Mooresville | NC | 06/2013 | 03/2017 |
| Yadkin Valley Bank And Trust | Mooresville | NC | 06/2013 | 03/2017 |
| Cetera Investment Services Llc | St.CLoud | MN | 03/2017 | 11/2017 |
| Cetera Investment Advisors | Morresville | NC | 03/2017 | 11/2017 |
| First National Bank Of Pa | Moresville | PA | 03/2017 | 11/2017 |
| Lpl Financial Llc | Concord | NC | 11/2017 | 05/2024 |
| Independent Advisor Alliance | Concord | NC | 11/2017 | 05/2024 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 05/2024 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 05/2024 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 05/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING 2) FOCUS WEALTH PLANNING, 3630 Poplar Tent Rd, CONCORD NC 28027, 03/25/2024, Investment Advisor Representative, RIA Affiliation - other than CIRA, INV REL, 100 HR/MO, 100 HR/MO TRADING. 3) FOCUS WEALTH PLANNING, 3630 Poplar Tent Rd Unit C, Concord NC 28027, 04/2024, Agent, Insurance/Benefits/Human Resources, NIR, 4 HR/MO, 4 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-09 |
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