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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2020-05-29
  • AL RA
    APPROVED
    Since 2020-05-29

Branch Locations

60 St Francis St. Ste. P-8, Mobile, AL 36602 • 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
C Square Wealth Strategies Mobile AL 08/2010 Present
Voya Financial Advisors Mobile AL 09/2014 05/2020
Cambridge Investment Research, Inc. Fairfield IA 05/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2020 Present
  • 08/2010 → Present
    C Square Wealth Strategies
    Mobile, AL
  • 09/2014 → 05/2020
    Voya Financial Advisors
    Mobile, AL
  • 05/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 05/2020 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1) JOSEPH L LOMAX, 60 St Francis St, Suite P-8, Mobile AL 36602, 01/01/2010, Agent, Insurance/Benefits/Human Resources, INV REL, 20 HR/MO, 0 HR/MO TRADING. 2) LOMAX GROUP LLC, DBA MIDTOWN LAWN, 311 Ponce De Loen Dr W, Saraland AL 36571, United States, LAWN CARE BUSINESS, 04/04/2024, NIR, OWNER, 30/MO 0/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 20/WK 20/TRADING 05/2020 4) JOSEPH L LOMAX, 60 St Francis St, Suite P-8, Mobile AL 36602, United States, 09/04/2024, REFERRAL AGENT, TAX AND ACCOUNTING, NIR, 1 HR/MO 1 HR/MO TRADING 5) WATERSHED WEALTH STRATEGIES, 60 St Francia St Ste. P-8, Mobile AL 36602, 09/04/2024, IAR, DBA Name, INV REL, 40 HR/MO, 30 HR/MO TRADING. 6) SPARTY FOUNDATON, 4010 Lil Spartan Drive, Saraland, AL 36571, 05/27/2026, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-23
  • S66 Uniform Combined State Law Examination
    2009-11-23

View on SEC IAPD

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