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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PR | RA | APPROVED | 2025-01-07 |
| TX | RA | APPROVED_RES | 2011-02-17 |
| CT | RA | APPROVED | 2005-03-28 |
Branch Locations
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 |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 05/2004 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 03/2005 | Present |
1.TREASURER OF CARLSON & CARLSON, INC., AN INDEPENDENT INSURANCE AGENCY. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 6/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3.RIVERSIDE FINANCIAL GROUP, LLC, 15 WILMOT LANE, RIVERSIDE, CT, SINCE 1/2015. SECURITIES DBA - DEVOTES 25 HR/WK - 3 HR/TRADING. 4.CARLSON & CARLSON INC, 15 WILMOT LN, RIVERSIDE, CT, 06/19/2025, President, Insurance/Benefits/Human Resources, 120 HR/MO - 120HR/TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-21 |
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