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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-06-07
LA RA APPROVED 2017-06-02
  • TX RA
    APPROVED_RES
    Since 2017-06-07
  • LA RA
    APPROVED
    Since 2017-06-02

Branch Locations

1911 Citizens Bank Drive Ste 102, Bossier City, LA 71111 • 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
Metlife Securities Inc. Monroe LA 08/1993 04/2017
Metropolitan Life Insurance Company Monroe LA 08/1993 04/2017
Mml Investors Services, Llc Monroe LA 03/2017 04/2017
Cambridge Investment Research, Inc. Fairfield IA 06/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2017 Present
Previous Registrations
  • 2017-03-25 → 2017-04-10
    Shreveport, LA
    Monroe, LA
  • 2004-07-01 → 2017-03-25
    Msi Financial Services, Inc.
    Monroe, LA
    Shreveport, LA
Other Businesses

1. DAVID SMITH FINANCIAL SERVICES, 1911 CITIZENS BANK DR, STE 102, BOSSIER CITY, LA, 7/01/1993 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 50/WK - 40/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/WK - 40/TRADING. 06/02/17. 3. DAVID SMITH PROPERTIES,1713 CASTLEWOOD DR, BOSSIER CITY, LA, 6/01/2011 AS OWNER OF RENTAL PROPERTY. NIR - 12/YR - 0/TRADING. 4. DBA DAVID SMITH FINANCIAL SERVICES, LLC, 1911 Citizens Bank Drive, Suite 102, Bossier City LA 71111, 04/2026, Owner, DBA Name, NIR, 100 HR/MO, 100 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-08-19
  • S63 Uniform Securities Agent State Law Examination
    1996-08-19

View on SEC IAPD

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