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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-03 |
| AZ | RA | APPROVED | 2023-11-29 |
| OR | RA | APPROVED | 2023-07-25 |
Branch Locations
9450 Sw Commerce Circle Ste. 400, Wilsonville, OR 97070 • United States
Coolidge, AZ • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Co | Wilsonville | OR | 11/2010 | 07/2023 |
| Mml Investors Services, Llc | Wilsonville | OR | 11/2010 | 07/2023 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2023 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2023 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADMINISTRATIVE REP OF AN RIA. INV REL, 160 HR/MO- 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) RICE FINANCIAL GROUP LLC, 9450 SW Commerce Circle, Suite 400, Wilsonville OR 97070, United States, 07/24/2023, W2 Employee, DBA Name, NIR, 160 HR/MO - 160 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-20 |
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