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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-28 |
| CA | RA | APPROVED | 2014-09-15 |
Branch Locations
151 N Sunrise Ave. Ste. 1303, Roseville, CA 95661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Richard Watson | Roseville | CA | 05/1996 | 09/2017 |
| Cambridge Investment Research, Inc | Fairfield | IA | 02/2009 | Present |
1) ROCKLIN UNIFIED SCHOOL DISTRICT 2615 SIERRA MEADOWS DR. ROCKLIN, CA 95677. BEGAN 08/25/2011 AS ASSISTANT COACH. NOT INVESTMENT RELATED. DEVOTES 9 HRS/WK. NONE DUIRNG TRADING. 2) NEXT STEP WEALTH MANAGEMENT, 6255 HEMLOCK WAY, ROCKLIN, CA, 10/2017. INV REL - FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 50/WK - 50/TRADING. 3) HEATHER CLARK, 1013 GALLERIA BLVD. LICENSED INSURANCE AGENT, ROSEVILLE, CA, 3/1999. INV REL - 0 HRS. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 24/TRADING. 09/15/14. 5) RRUFF, 3031 Stanford Ranch Road Suite 2, #125, Rocklin CA 95765, 02/01/2024, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 5 HR/MO, 0 HR/MO TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-14 |
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