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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2017-07-24 |
Branch Locations
9850 Von Allmen Court, Suite 201, Louisville, KY 40241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc. | Louisville | KY | 01/2015 | 03/2017 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 07/2016 | 07/2017 |
| Mml Investors Services, Llc | Louisville | KY | 03/2017 | 07/2017 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2017 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2017 | Present |
1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.INDEPENDENT INSURANCE AGENT, 1201 STORY AVE STE 230, LOUISVILLE, KY, 7/2017 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 15/MO - 5/TRADING. 3.BLUECAP FINANCIAL LLC, 1201 STORY AVE STE 230, LOUISVILLE, KY, 01/26/2018, Owner, Using a Trade Name / DBA INVESTMENT, INV REL - 4/MO - 4/TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-17 |
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