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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2013-08-30
  • RI RA
    APPROVED
    Since 2013-08-30

Branch Locations

25 First Ave, East Greenwich, RI 02818 • 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 08/2013 Present
Cambridge Investment Research Advisors Inc Fairfield IA 08/2013 Present
Previous Registrations
  • 2007-08-03 → 2013-09-05
    New England Securities
    Saunderstown, RI
    East Providence, RI
    E. Providence, RI
    New York, NY
    East Providence, RI
    Boston, MA
    East Providence, RI
    Providence, RI
    Providence, RI
  • 2010-03-31 → 2013-09-03
    Overland Park,, KS
  • 2005-06-01 → 2007-08-10
    New York, NY
    Providence, RI
    Providence, RI
  • 2004-04-30 → 2005-06-01
    Mony Securities Corporation
    Saunderstown, RI
  • 2001-04-17 → 2002-12-31
    Trusted Securities Advisors Corp.
    Saunderstown, RI
  • 2000-08-22 → 2002-12-10
    Mony Securities Corporation
    Kingston, RI
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 215 Douglas Drive, Saunderstown RI 02874, 01/2011, INV REL, 4 HR/MO - 2) TRIO JEZ, LLC / 25 First Avenue, East Greenwich, RI 02818 / 11/10/2015 / NIR / OWNER - LLC OWNS/RENTS PROPERTY IN NARRAGANSETT, RI / 3 HR/MO - 0/TRADING. 3) ATHENA LEGACY SOLUTIONS, LLC, 215 Douglas Drive, Saunderstown RI 02874, 01/2011, Using a Trade Name/dba, NIR, 4 HR/MO - 4 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 08/30/2013

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-13
S63 Uniform Securities Agent State Law Examination 1995-08-07
  • S65 Uniform Investment Adviser Law Examination
    1999-04-13
  • S63 Uniform Securities Agent State Law Examination
    1995-08-07
Other Names
  • Janet Marie Gozdz
  • Janet M Goulart

View on SEC IAPD

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