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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 2016-08-31
IL RA APPROVED 2012-12-05
  • TX RA
    APPROVED
    Since 2016-08-31
  • IL RA
    APPROVED
    Since 2012-12-05

Branch Locations

17W220 22Nd St. Ste. 300, Oakbrook Terrace, IL 60181 • United States

3255 N Arlington Heights Rd. Ste. 503, Arlington Heights, IL 60004 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insruance Company Indianapolis IN 05/2007 Present
Oakcrest Capital Llc Indianapolis IL 11/2012 Present
Cambridge Investment Research, Inc Fairfield IA 12/2012 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 12/2012 Present
  • 05/2007 → Present
    Guardian Life Insruance Company
    Indianapolis, IN
  • 11/2012 → Present
    Oakcrest Capital Llc
    Indianapolis, IL
  • 12/2012 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 12/2012 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1) RYAN NIETERT, INDEPENDENT INSURANCE AGENT, 17 W 220 22ND ST, STE 300/BOX 4, OAKBROOK TERRACE, IL, 10/01/2007 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 30 HR/MO - 1/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/2012 AS ADVISORY REP OF A RIA. INV REL - 50 HR/WK - 40/TRADING. 12/03/12 3) OAKCREST CAPITAL LLC, 17 W 220 22ND ST, STE 300/BOX 4, OAKBROOK TERRACE, IL, PRESIDENT/DBA WITH WIFE, 11/30/12, NIR, 40 HR/,MO- 40/TRADING HR. 4) OAKCREST TAX AND ACCOUNTING GROUP, LLC, 17 W 220 22ND ST, STE 300/BOX 4, OAKBROOK TERRACE, IL, 08/02/2021. CPA, TAX PREP, ACCOUNTING SERVICES, ENROLLED AGENT. INV REL-1/MO-0/TRADING. 5) OAKCREST CAPITAL LLC, 17 W 220 22ND ST, STE 300/ BOX 4, OAKBROOK TERRACE, IL, 04/03/2019. CERTIFIED DIVORCE FINANCIAL ANALYST. INV REL-5 HR/MO-2/TRADING. 6) OAKCREST CAPITAL, LLC, 17 W 220 22ND ST, STE 300/BOX 4, OAKBROOK TERRACE, IL, VARO REFERRAL RELATIONSHIP/ CONSULTANT, 03/03/21, NIR, 1 HR/MO- 0/TRADING HR.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-01-26
S63 Uniform Securities Agent State Law Examination 2007-09-11
  • S66 Uniform Combined State Law Examination
    2010-01-26
  • S63 Uniform Securities Agent State Law Examination
    2007-09-11
Designations

View on SEC IAPD

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