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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

107 Northern Blvd. Ste. 304, Great Neck, NY 11021 • 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
Gilman & Ciocia Queens NY 02/1981 12/2020
National Securities Corporation Flushing NY 11/2013 01/2021
Cambridge Investment Research, Inc Fairfield IA 01/2021 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2021 Present
  • 02/1981 → 12/2020
    Gilman & Ciocia
    Queens, NY
  • 11/2013 → 01/2021
    National Securities Corporation
    Flushing, NY
  • 01/2021 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 01/2021 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING, 01/04/21 2) PREMIER TAX PLANNING, 107 NORTHERN BLVD, STE 304, GREAT NECK, NY, TAX ACCOUNTANT, 01/10/21, NIR, 80 HR/MO- 50/TRADING HR. 3) PREMIER WEALTH, 107 Northern Blvd STE 304, Great Neck NY 11021, 02/01/2022, INV REL, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 1 HR/MO - 1/Trading/MO 4) PREMIER TAX PLANNING / 107 Northern Blvd STE 304, Great Neck NY 11021/ 02/2021 / TAX & INSURANCE AGENT / INV REL / 20 HR/MO 4 HR TRADING 5) PREMIER TAX & WEALTH PLANNING, 107 Northern Blvd, Suite 304, Great Neck NY 11021, 02/1981, Tax Preparer, Tax Services, NIR, 80 HR/MO - 48 HR/MO TRADING. 6) PREMIER WEALTH PLANNING, Great Neck NY 11021, United States, 01/04/2021, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-30
S63 Uniform Securities Agent State Law Examination 1995-01-16
  • S66 Uniform Combined State Law Examination
    2014-01-30
  • S63 Uniform Securities Agent State Law Examination
    1995-01-16

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