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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-05-12
NC RA APPROVED 2018-07-01
  • TX RA
    APPROVED_RES
    Since 2020-05-12
  • NC RA
    APPROVED
    Since 2018-07-01

Branch Locations

Hubert, NC • United States

2443 Lynn Rd. Ste. 112, Raleigh, NC 27612 • United States

Cary, NC • 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
Niemic Insurance Raleigh NC 11/2001 06/2018
Nationwide Securities, Inc Dublin OH 12/2002 06/2018
Nationwide/Dan Thompson Agency Raleigh NC 12/2002 06/2018
Cambridge Investment Research, Inc. Fairfield IA 06/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2018 Present
  • 11/2001 → 06/2018
    Niemic Insurance
    Raleigh, NC
  • 12/2002 → 06/2018
    Nationwide Securities, Inc
    Dublin, OH
  • 12/2002 → 06/2018
    Nationwide/Dan Thompson Agency
    Raleigh, NC
  • 06/2018 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2018 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1. HANK INC, 100 SKIPWYTH CIR, CARY, NC, 2/2015 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 45/WK - 30/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/WK - 10/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. STRATEGIC WEALTH ADVISORS, 8402 Six Forks Road, Suite 103, Raleigh NC 27615, United States, 10/01/2023, President, Referrals, NIR, 160 HR/MO - 160 HR/MO TRADING 4. STRATEGIC WEALTH ADVISORS, 323 Inverness Dr, Hubert NC 28539, 04/2025, Agent, Insurance/Benefits/Human Resources, NIR, 15 HR/MO, 15 HR/MO TRADING. 5. SWA PROPERTIES, LLC, 2443 Lynn Road, Suite 112, Raleigh NC 27612, United States, 07/15/2025, Owner, Real Estate, NIR, 1 HR/MO, 1 HR/MO TRADING. 6. DAVE RAMSEY, 2443 Lynn Road, Suite 112, Raleigh NC 27612, United States, 05/2026, Investment Advisor Representative, Marketing, NIR, 20 HR/MO – 20 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-11
S63 Uniform Securities Agent State Law Examination 1996-04-23
  • S65 Uniform Investment Adviser Law Examination
    2017-12-11
  • S63 Uniform Securities Agent State Law Examination
    1996-04-23

View on SEC IAPD

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