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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-04-20
  • VA RA
    APPROVED
    Since 2021-04-20

Branch Locations

2971 Valley Ave. Suite 101, Winchester, VA 22601 • United States

4050 Innslake Dr. Ste. 110, Glen Allen, VA 23060 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Lincoln Financial Securities Corporation Glen Allen VA 12/2014 04/2021
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2021 Present
Cambridge Investment Research, Inc. Fairfield IA 04/2021 Present
  • 12/2014 → 04/2021
    Lincoln Financial Securities Corporation
    Glen Allen, VA
  • 04/2021 → Present
    Fairfield, IA
  • 04/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2014-12-23 → 2021-04-19
    Osaic Fs, Inc.
    Glen Allen, VA
    Glen Allen, VA
    Virginia Beach, VA
    Winchester, VA
  • 2004-06-25 → 2014-12-31
    Glen Allen, VA
  • 2003-03-07 → 2004-07-08
    Raymond James Financial Services, Inc.
    Richmond, VA
Other Businesses

1) DEEP RUN FINANCIAL, 4461 COX RD, STE 101, GLEN ALLEN, VA, NOTARY, 09/03/02, NIR, 1 HR/YR- 0/TRADING HR. 2) DEEP RUN FINANCIAL, 4461 COX RD, STE 101, GLEN ALLEN, VA, DBA, PRESIDENT, 01/01/05, NIR, 0/HR YR- 0/TRADING HR. 3) INTEGRITY FINANCIAL, 4429 BONNEY RD, STE 450, VIRGINIA BEACH, VA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/01/15, NIR, 10 HR/YR- 1/TRADING HR. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-8 hr/mo-80/TRADING. 04/16/21 -IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. OBA FORM SUBMITTED ON FINANCIAL PROFESSIONAL 'S BEHALF, BY CIR HOME OFFICE. TIME SPENT AND INCOME ARE ESTIMATED. 5) FINRA ARBITRATOR, 4461 Cox Rd., Suite 101, Glen Allen VA 23060, United States, 07/01/2023, Finra Arbitrator, Arbitration, NIR, 2 HR/MO - 0 HR/MO TRADING 6) NOTARY, 4461 Cox Rd., Suite 101, Glen Allen VA 23060, United States, 06/22/2023, Notary, NIR, 1 HR/MO - 1 HR/MO TRADING 7. RIVER CITY FINANCIAL, 4050 Innslake Dr., Suite 110, Glen Allen VA 23060, United States, 05/01/2024, Vice President, Owner/Partner of a Business Entity, NIR, 40 HR/MO - 40 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-02-25
S63 Uniform Securities Agent State Law Examination 1994-06-23
  • S65 Uniform Investment Adviser Law Examination
    2003-02-25
  • S63 Uniform Securities Agent State Law Examination
    1994-06-23
Designations

View on SEC IAPD

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