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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2014-10-01
  • OH RA
    APPROVED
    Since 2014-10-01

Branch Locations

8075 Washington Village Dr Ste 123, Dayton, OH 45458 • 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 10/2014 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2014 Present
Previous Registrations
  • 2005-09-30 → 2014-10-01
    Dayton, OH
    Ann Arbor, MI
Other Businesses

1) FINANCIAL DIRECTIONS INC 5256 SPRINGBORO PK, DAYTON OH, 11/1999 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 6/TRADING. 2) BK SCHULTZ CONSULTING, 989 CHUKKA DRIVE, DAYTON, OH 45458 ; BEGAN 01/14/2014 ; AS PRESIDENT/ASSOCIATE ; INVESTMENT RELATED ; DEVOTES 30 HRS/WK ; 24 DURING TRADING HOURS/ 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4) INDEPENDENT INSURANCE AGENT, 5256 SPRINGBORO PK, DAYTON OH, 7/1993 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 6/TRADING. 5) BRIAN K SCHULTZ, 989 CHUKKA DR CENTERVILLE OH 45458, 11/2023, OWNER, FUR HARVESTING, NIR, 6 HR/MO 0 HR/MO TRADING 6) FINANCIAL DIRECTIONS, INC., 8075 Washington Village Dr, Dayton OH 45458, 11/1999, President, Insurance/Benefits/Human Resources, INV REL, 40 HR/MO, 24 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-04
S63 Uniform Securities Agent State Law Examination 1993-10-14
  • S66 Uniform Combined State Law Examination
    2000-08-04
  • S63 Uniform Securities Agent State Law Examination
    1993-10-14
Designations

View on SEC IAPD

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