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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2020-03-02
  • IA RA
    APPROVED
    Since 2020-03-02

Branch Locations

1776 Pleasant Plain Road, Fairfield, IA 52556 • United States

Cedar Rapids, IA • 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
Berthel Fisher & Company Financial Services, Inc. Cedar Rapids IA 04/2013 Present
Securities Management & Research, Inc. Cedar Rapids IA 11/2014 Present
Cambridge Investment Research Fairfield IA 03/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2020 Present
Cambridge Investment Research Fairfield IA 02/2020 Present
Previous Registrations
Other Businesses

1)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 03/02/20

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-05
  • S66 Uniform Combined State Law Examination
    2019-04-05

View on SEC IAPD

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