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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 2024-09-20
KY RA APPROVED 2017-05-11
  • TX RA
    APPROVED
    Since 2024-09-20
  • KY RA
    APPROVED
    Since 2017-05-11

Branch Locations

789 N. Us Highway 23, Paintsville, KY 41240 • 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
Citizens National Bank Paintsville KY 11/2007 05/2017
Lpl Finanical Llc Paintsville KY 06/2016 05/2017
Cambridge Investment Research, Inc. Fairfield IA 05/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 05/2017 Present
  • 11/2007 → 05/2017
    Citizens National Bank
    Paintsville, KY
  • 06/2016 → 05/2017
    Lpl Finanical Llc
    Paintsville, KY
  • 05/2017 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 05/2017 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1. Appalachian Insurance, 789 N. US Highway 23 Paintsville, KY, 3/21/17 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 1/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. CAUDILL CAPITAL LLC, 73 DIXON ST, STAFFORDSVILLE, KY, 5/2015 AS OWNER OF RENTAL PROPERTY. NIR - 4/MO - 0/TRADING. 4. OCTOBER HOLDINGS LLC, 789 N US HWY 23, PAINTSVILLE, KY, 8/2018 AS VP OF LLC OWNING RENTAL PROPERTY. NIR - 1/YR - 0/TRADING. 5. EXECUTOR, PAINTSVILLE, KY, 03/2019. EXECUTOR OF P/J G ESTATE. INV REL-0/MO-0/TRADING. 6. APPAFINANCIAL, LLC, 789 N US HWY 23, PAINTSVILLE, KY, OWNER, 03/19/18, INV REL, 24/WK- 24/TRADING 7. CAUDILL CAPITAL, LLC, 73 Dixon St., Staffordsville KY 41256, 05/31/2015, NIR, OWNER, RENTAL PROPERTIES, 4 HR/MO - 0 HR/MO TRADING 8. SHOW ME MY MONEY GUIDE, 73 Dixon St, Staffordsville KY 41256, United States, 05/15/2024, Author, NIR, 2 HR/MO - 0 HR/MO TRADINg 9. BETSY LAYNE HOLDING, LLC, 73 Dixon St, Staffordsville KY 41256, 06/01/2026, OWNER, REAL ESTATE, NIR, 1 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-27
  • S66 Uniform Combined State Law Examination
    2016-09-27
Designations

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