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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 2022-10-31
TX RA APPROVED_RES 2012-06-13
CA RA APPROVED 2011-04-29
  • FL RA
    APPROVED
    Since 2022-10-31
  • TX RA
    APPROVED_RES
    Since 2012-06-13
  • CA RA
    APPROVED
    Since 2011-04-29

Branch Locations

101 S. Kraemer Blvd., Suite 204, Placentia, CA 92870 • United States

Navarre, FL • 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
U.S. Air Force Los Angeles A.F.B. CA 06/1988 Present
Cambridge Investment Research, Inc Fairfield IA 04/2011 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2011 Present
Previous Registrations
  • 2011-12-19 → 2011-12-21
    Newport Wealth Strategies, Inc.
    Irvine, CA
  • 1999-03-01 → 2011-04-28
    Newport Beach, CA
    Mission Viejo, CA
    Rsm, CA
    Solana Beach, CA
    San Diego, CA
    La Jolla, CA
    Scottsdale, AZ
    Scottsdale, AZ
    Fullerton, CA
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
Other Businesses

1)KEITH OFFEL, INDEPENDENT INSURANCE AGENT,101 S KRAEMER BLVD, STE 204, PLACENTIA, CA, 4/28/2011, MANAGING PARTNER, FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5 HR/WK - 1/TRADING. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 4/2011 AS ADVISORY REP OF A RIA. INV REL - 25 HR/WK - 25/TRADING. 04/29/11 3)STONEHAVEN FINANCIAL GROUP, 101 S KRAEMER BLVD, SGTE 204, PLACENTIA,CA. 01/01/95, INV REL, FINANCIAL SERVICES, OWNER, INV REL, 5 HR/WK- 3/TRADING HR. 4) STONEHAVEN FINANCIAL GROUP, 101 S KRAEMER BLVD, STE 204, PLACENTIA, CA. 02/01/12, INV REL, PRESIDENT DBA/ S-CORP, 40 HR/WK- 40/TRADING HR.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-28
S63 Uniform Securities Agent State Law Examination 1995-03-17
  • S65 Uniform Investment Adviser Law Examination
    1999-06-28
  • S63 Uniform Securities Agent State Law Examination
    1995-03-17

View on SEC IAPD

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