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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-03-25 |
| TX | RA | APPROVED | 2021-03-22 |
Branch Locations
430 W Warner Rd. Ste. 123, Tempe, AZ 85284 • United States
Chandler, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 05/2014 | 03/2021 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 03/2021 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 03/2021 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 20/WK 20/TRADING, 03/2021 2) DUNCAN ADVISOR RESOURCES, 3707 E SOUTHERN AVE MESA AZ 85206, 07/2021, FINANCIAL PROFESSIONAL, 1099 CONTRACTOR, NIR, 1 HR/MO 0 HR/MO TRADING 3) KIMBERLY MOLTER, 430 W WARNER ROAD #123 TEMPE AZ, 07/2022, NOTARY, CIVIC, NIR, 1 HR/MO 0 HR/MO TRADING 4) ADVISORS EXCEL LIFE, 430 W WARNER ROAD #123 TEMPE AZ, 04/2022, INV REL, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, 0 HR/MO 1 HR/MO TRADING 5) SMARTVESTOR, 430 W WARNER ROAD #123 TEMPE AZ,11/2022, MARKETING PRESENTER, NIR, 25 HR/MO 15 HR TRADING 6) MODERN LEGACY ADVISORS LLC, 430 W WARNER ROAD #123 TEMPE AZ, 02/2024, OWNER, DBA, INV REL, 40 HR/MO 35 HR/MO TRADING 7) TEN4 FINANCIAL LLC, 2435 NORTH CENTRAL EXPY #1200 RICHARDSON TX, 02/2024, IAR, DBA, 5 HR/MO 5 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-23 |
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