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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2017-11-01
TX RA APPROVED 2017-11-01
  • IA RA
    APPROVED
    Since 2017-11-01
  • TX RA
    APPROVED
    Since 2017-11-01

Branch Locations

833 Broadway St., Pella, IA 50219 • 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
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 11/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2017 Present
Investment Centers Of America Bismarck ND 11/2014 11/2017
Previous Registrations
  • 2014-11-03 → 2017-11-01
    Investment Centers Of America, Inc.
    Pella, IA
    Pella, IA
    Bismarck, ND
  • 2004-01-02 → 2014-11-13
    Pella, IA
  • 1999-01-01 → 2005-09-16
    Midwestone Investment Services, Inc
    Pella, IA
Other Businesses

1) Board Member of a Non-Public Entity. Fields For Our Future, 100 Main St., Pella, IA 50219. Board Member since 2/1/10. Non-investment related. 1 hour monthly none during trading hours. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. WASSENAAR FINANCIAL GROUP, 833 BROADWAY ST, ,PELLA, IA, MARKETING PRESENCE, PRESIDENT, FINANCIAL PLANNING, CLIENT ASSETS MANAGER, LIFE INSURANCE, 02/01/04, INV REL, 40/WK- 30/TRADING 4. TRINITY REFORMED CHURCH, 407 FRANKLIN STREET, PELLA, IA, BOARD MEMBER OF NON-PUBLIC ENTITY, CONSISTORY MEMBER, NIR,01/01/19, 5/WK- 0/TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-16
S63 Uniform Securities Agent State Law Examination 1995-06-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-16
  • S63 Uniform Securities Agent State Law Examination
    1995-06-21
Designations

View on SEC IAPD

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