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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2005-03-28
  • ME RA
    APPROVED
    Since 2005-03-28

Branch Locations

371 Alfred St. Ste 100, Biddeford, ME 04005 • 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. Biddeford ME 10/1998 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2005 Present
Previous Registrations
  • 2003-01-08 → 2009-01-26
    Pension Professionals
    Biddeford, ME
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 2)RW BUTLER CAPITAL, INC, 371 ALFRED ST, STE 100, BIDDEFORD, ME, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 04/01/95, NIR, 10 HR/WK- 10/TRADING HR.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-29
S63 Uniform Securities Agent State Law Examination 1995-12-28
  • S65 Uniform Investment Adviser Law Examination
    2002-05-29
  • S63 Uniform Securities Agent State Law Examination
    1995-12-28
Other Names
  • Dick Butler

View on SEC IAPD

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