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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-10-22
TX RA APPROVED_RES 2022-04-28
AL RA APPROVED 2015-09-30
  • FL RA
    APPROVED
    Since 2025-10-22
  • TX RA
    APPROVED_RES
    Since 2022-04-28
  • AL RA
    APPROVED
    Since 2015-09-30

Branch Locations

Perdido Key, FL • United States

100 Centerview Drive Suite 249, Birmingham, AL 35216 • 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
Cambridge Investment Research, Inc. Fairfield IA 08/2015 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 08/2015 Present
Previous Registrations
  • 2014-03-14 → 2015-09-18
    Vestavia Hills, AL
  • 2006-04-07 → 2015-08-11
    Vestavia, AL
    Birmingham, AL
    Birmingham, AL
  • 2003-11-14 → 2006-04-11
    Raymond James Financial Services, Inc.
    Birmingham, AL
  • 2003-02-13 → 2003-11-05
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
Other Businesses

1) GARRY HILL, 100 CENTERVIEW DRIVE STE 249 BIRMINGHAM AL,10/1983, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 1 HR/WK 0 HR/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 09/2015, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 3) PROSPER FINANCIAL PLANNING INC, 100 CENTERVIEW DRIVE SUITE 249 VESTAVIA AL, 06/2023, DBA, SECRETARY, INV REL, 40 HR/WK 40 HR/TRADING 4) BANANA BAY HOA BOARD (Member at Large), 13937 Del Rio Drive, Perdido Key, FL 32507, United States, 10/01/2023, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO - 0 HR/MO TRADING 5) HOLLYWOOD MANOR CIRCLE HOA, 1108 HOLLYWOOD MANOR CIRCLE BIRMINGHAM AL, 09/2024, BOARD MEMBER, HOA, 1 HR/MO 0 HR/MO TRADING 6) HOLLYWOOD MANOR CIRCLE HOA, 1108 Hollywood Manor Circle, Birmingham AL 35209, 09/2024, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO, 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-09
S63 Uniform Securities Agent State Law Examination 1994-02-28
  • S66 Uniform Combined State Law Examination
    2003-01-09
  • S63 Uniform Securities Agent State Law Examination
    1994-02-28

View on SEC IAPD

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