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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2020-06-04
  • WI RA
    APPROVED
    Since 2020-06-04

Branch Locations

18 East Washington St. Ste. B, West Bend, WI 53090 • 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
Lpl Financial Llc West Bend WI 09/2013 05/2019
Westbury Bank West Bend WI 09/2013 06/2017
Cambridge Investment Research, Inc. Fairfield IA 06/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2020 Present
Self Employed West Bend WI 06/2019 06/2020
Previous Registrations
  • 2013-09-05 → 2019-06-18
    West Bend, WI
    San Diego, CA
    West Bend, WI
    Germantown, WI
    Jackson, WI
    Kewaskum, WI
    Brookfield, WI
    Hartford, WI
    Colgate, WI
    Slinger, WI
    West Bend, WI
    West Bend, WI
    West Bend, WI
    Brookfield, WI
    Germantown, WI
    Beaver Dam, WI
  • 2006-03-27 → 2012-09-06
    Fond Du Lac, WI
    Beaver Dam, WI
    Milwaukee, WI
    Milwaukee, WI
    West Bend, WI
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 06/2020, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 80 HR/MO TRADING. 2) RANDALL WEALTH MANAGEMENT, LLC, 18 E. Washington Street, Suite B, West Bend WI, DBA, 06/01/20, INV REL, 200 HR/MO - 200/TRADING 3) WEST BEND SCHOOL DISTRICT, 735 S MAIN ST, WEST BEND, WI, 08/15/07, NIR, PUBLIC ADDRESS ANNOUNCER, 20/MO- 0/TRADING 3) RANDALL WEALTH MANAGEMENT, 18 E. Washington Street, Suite B, West Bend WI, 09/2020, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 09/25/20, INV REL, 10/MO-5/TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-25
  • S66 Uniform Combined State Law Examination
    2006-03-25
Other Names
  • B.J. Royes

View on SEC IAPD

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