Thomas Edward Kraut

Current Employers

Cambridge Investment Research Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2017-11-17

MI RA
APPROVED

Since 2017-11-17

Branch Locations

Cheboygan, MI • United States

1600 Center Ave, Bay City, MI 48708 • 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

Organization	City	State	From	To
Sii Investments, Inc.	Midland	MI	08/1996	11/2017
Cambridge Investment Research, Inc.	Fairfield	IA	11/2017	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	11/2017	Present

08/1996 → 11/2017

Sii Investments, Inc.

Midland, MI
11/2017 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
11/2017 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2004-10-27 → 2017-11-17

Sii Investments, Inc.

Bay City, MI

Bay City, MI

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2017, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 2) RETIREMENT & WEALTH STRATEGIES (RWS FINANCIAL GROUP), 28555 ORCHARD LAKE ROAD SUITE 100 FARMINGTON HILLS MI 48334, United States, 12/30/2020, IAR, DBA Name, NIR, 160 HR/MO 160 HR/MO TRADING 3) THOMAS KRAUT,1600 CENTER AVE BAY CITY MI, 01/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 1 HR/MO 1 HR/MO TRADING

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-17
S63	Uniform Securities Agent State Law Examination	1996-04-30

S65 Uniform Investment Adviser Law Examination

1999-12-17
S63 Uniform Securities Agent State Law Examination

1996-04-30

Other Names

Thomas Edward Kraut

View on SEC IAPD