Andrew H Nollman

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2009-02-06

CT RA
APPROVED

Since 2009-02-06

Branch Locations

Franklin, CT • 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

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	02/2009	Present
Cambridge Investment Research Advisors, Inc	Fairfield	IA	02/2009	Present

02/2009 → Present

Cambridge Investment Research, Inc

Fairfield, IA
02/2009 → Present

Cambridge Investment Research Advisors, Inc

Fairfield, IA

Previous Registrations

2008-06-20 → 2009-02-03

Edward Jones

St Louis, MO

Norwich, CT

Other Businesses

1. ROSE CITY FINANCIAL SERVICES LLC, 65 YANTIC LN, NORWICH, CT, 2/2009 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 2/TRADING. 2. GREATER NORWICH AREA CHAMBER OF COMMERCE, 112 MAIN ST, NORWICH, CT 06360. BEGAN 1/6/08 AS CHAIRMAN. NOT INVESTMENT RELATED. DEVOTES 1 HR/MNTH, NONE DURING TRADING. 3. BROTHERS OF JOSEPH CEMETARY COMMITTEE. NORWICH, CT. STARTED 01/2013 AS COMMITTEE MEMBER. SPENDS 2 HRS/MONTH, NONE DURING TRADING. NON-PROFIT. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 55/WK - 6/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5. NORWICH FREE ACADEMY, 305 BROADWAY, NORWICH, CT, 01/2019. CORPORATOR, REVIEW SCHOOL GOVERNANCE STRUCTURE, APPROVE NOMINATIONS TO THE BOARD, BE AN AMBASSADOR/SUPPORTER OF THE SCHOOL. NIR-2/YR-0/TRADING. 6. NORWICH ROTARY CLUB BLACKMAR SCHOLARSHIP, 40 Cuprak Rd, Norwich CT 06360, United States, 11/01/2011, Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR- 1 HR/MO- 1/TRADING HR. 7. GREATER NORWICH AREA BUSINESS/INDUSTRY FOUNDATION, INC. / 187 Main Street, Norwich CT 06360 / 01/01/2022 / NIR / BOARD MEMBER - RAISES MONEY THRU EVENS AND DONATES BACK TO THE LOCAL COMMUNITY / 1HR/MO - 0 HR/MO TRADING 8. ROSE CITY NETWORK, 10 LAURA BLVD, NORWICH CT 06360, 05/2024, VICE PRESIDENT, VOLUNTEER, NIR, 4 HR/MO - 0 HR/MO TRADING. 9. ROSE CITY FINANCIAL SERVICES, North Franklin CT 06254, United States, 02/09/2009, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-06-13
S63	Uniform Securities Agent State Law Examination	2006-01-02

S66 Uniform Combined State Law Examination

2008-06-13
S63 Uniform Securities Agent State Law Examination

2006-01-02

View on SEC IAPD