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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-06-08
TX RA APPROVED 2018-04-17
  • FL RA
    APPROVED
    Since 2018-06-08
  • TX RA
    APPROVED
    Since 2018-04-17

Branch Locations

1395 West Granada Blvd., Ormond Beach, FL 32174 • 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
Independent Insurance Contract Ormond Beach FL 12/1983 Present
National Planning Corporation Ormond Beach FL 10/2008 11/2017
Lpl Financial Llc Port Orange FL 11/2017 04/2018
Cambridge Investment Research, Inc. Fairfield IA 04/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2018 Present
  • 12/1983 → Present
    Independent Insurance Contract
    Ormond Beach, FL
  • 10/2008 → 11/2017
    National Planning Corporation
    Ormond Beach, FL
  • 11/2017 → 04/2018
    Port Orange, FL
  • 04/2018 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 04/2018 → Present
    Fairfield, IA
Previous Registrations
  • 2017-11-29 → 2018-04-27
    Ormond Beach, FL
    Port Orange, FL
  • 2008-11-06 → 2017-12-05
    National Planning Corporation
    Los Angeles, CA
    Ormond Beach, FL
    Port Orange, FL
    Los Angeles, CA
  • 2005-10-31 → 2008-11-04
    Osaic Services, Inc.
    Ormond Beach, FL
  • 2005-05-17 → 2005-10-31
    Sunamerica Securities, Inc.
    Ormond Beach, FL
Other Businesses

1.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. 2.INDEPENDENT INSURANCE AGENT, 1395 W GRANADA BLVD, ORMOND BEACH, FL, 12/1978 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - 5/TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-05
S63 Uniform Securities Agent State Law Examination 1987-03-17
  • S65 Uniform Investment Adviser Law Examination
    1999-04-05
  • S63 Uniform Securities Agent State Law Examination
    1987-03-17
Designations
Other Names
  • Bill Grigat

View on SEC IAPD

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