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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-03-27
  • CA RA
    APPROVED
    Since 2023-03-27

Branch Locations

214 C South Cedros Ave., Solana Beach, CA 92075 • 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
Linclay Management Denver CO 12/1988 01/2023
Linclay Mgmt Denver CO 12/1988 01/2023
Neidiger, Tucker, Bruner, Inc Denver CO 06/2001 01/2023
Momentum Independent Network Dallas TX 01/2023 03/2023
Cambridge Investment Research, Inc. Fairfield IA 03/2023 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2023 Present
  • 12/1988 → 01/2023
    Linclay Management
    Denver, CO
  • 12/1988 → 01/2023
    Linclay Mgmt
    Denver, CO
  • 06/2001 → 01/2023
    Neidiger, Tucker, Bruner, Inc
    Denver, CO
  • 01/2023 → 03/2023
    Momentum Independent Network
    Dallas, TX
  • 03/2023 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 03/2023 → Present
    Fairfield, IA
Previous Registrations
  • 2023-01-03 → 2023-04-21
    Dallas, TX
    Solana Beach, CA
  • 2001-10-22 → 2022-12-31
    Ntb Financial Corporation
    Solana Beach, CA
    Solana Beach, CA
    Solana Beach, CA
    Highlands Ranch, CO
    Highlands Ranch, CO
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-04
S63 Uniform Securities Agent State Law Examination 1993-12-01
  • S65 Uniform Investment Adviser Law Examination
    1995-12-04
  • S63 Uniform Securities Agent State Law Examination
    1993-12-01

View on SEC IAPD

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