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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-08-24
  • CT RA
    APPROVED
    Since 2009-08-24

Branch Locations

504 Main Street, Suite 203, Farmington, CT 06032 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed Farmington CT 07/1993 Present
Cambridge Investment Research, Inc Fairfield IA 08/2009 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 08/2009 Present
Previous Registrations
  • 2007-05-01 → 2009-08-31
    Woodbury Financial Services, Inc.
    Farmington, CT
  • 2006-03-31 → 2007-04-30
    National Planning Corporation
    Farmington, CT
    South Windsor, CT
  • 2000-12-11 → 2006-04-03
    Osaic Fs, Inc.
    Farmington, CT
Other Businesses

1.PSB ADVISORS, 1052 NEW BRITAIN AVE, WEST HARTFORD, CT, 6/1993 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 30 HR/WK - 30/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 2 HR/WK - 1/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-24
S63 Uniform Securities Agent State Law Examination 1994-04-15
  • S65 Uniform Investment Adviser Law Examination
    2000-10-24
  • S63 Uniform Securities Agent State Law Examination
    1994-04-15

View on SEC IAPD

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