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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 2016-04-18
NJ RA APPROVED 2011-08-01
  • TX RA
    APPROVED_RES
    Since 2016-04-18
  • NJ RA
    APPROVED
    Since 2011-08-01

Branch Locations

601 Jefferson Rd Ste 101, Parsippany, NJ 07054 • United States

299 Ward St., East Windsor, NJ 08520 • 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
Financial Principles, Llc Fairfield NJ 02/2006 Present
Robert Giordano Oak Ridge NJ 01/2000 Present
Cambridge Investment Research, Inc Fairfield IA 08/2011 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 08/2011 Present
  • 02/2006 → Present
    Financial Principles, Llc
    Fairfield, NJ
  • 01/2000 → Present
    Robert Giordano
    Oak Ridge, NJ
  • 08/2011 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 08/2011 → Present
    Fairfield, IA
Previous Registrations
  • 2006-10-19 → 2011-08-02
    Securities America Advisors, Inc.
    Fairfield, NJ
Other Businesses

1)GIORDANO CUMMINGS FINANCIAL LLC, 601 JEFFERSON RD STE 207, PARSIPPANY, NJ, 2/2006 AS PART-OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/WK - 1/TRADING. 2)AUTHOR, MYSTERY WRITER SINCE 1/1/04 NON-INVESTMENT RELATED, 2 HOURS WEEKLEY NONE DURING TRADING HOURS. 3)GIORDANO CUMMINGS FINANCIAL, LLC. 601 JEFFERSN RD, STE 207 PARSIPPANY, NJ 07054. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 08/01/2011. NONE INVESTMENT RELATED. DEVOTES 2 HOURS/WK. NONE DURING TRADING. 4)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5)HANSON MCCLAIN RETIREMENT NETWORK 3620 FAIR OAKSS BLVD, STE 300 SACRAMENTO, CA 95864. BEGAN 3/1/2009 AS FINANCIAL ADVISOR WORKING WITH HANSON MCCLAIN TO MARKET COMPANIES THEY HAVE A RELATIONSHIP WITH SUCH AS VERISON ADN PSEG. WILL BE ASSISTING EMPLOYEES OF THESE COMPANIES WITH INVESTMENT SERVICES. INVESTMENT RELATED. DEVOTES 30 HRS/WK. 20 HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-21
  • S66 Uniform Combined State Law Examination
    2006-07-21
Other Names
  • Rob Giordano

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