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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_RES 2016-01-04
KS RA APPROVED 2005-03-28
  • TX RA
    APPROVED_RES
    Since 2016-01-04
  • KS RA
    APPROVED
    Since 2005-03-28

Branch Locations

9504 E 63Rd St. Ste 102, Raytown, MO 64133 • United States

9201 Bond Street, Overland Park, KS 66214 • 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
Cambridge Investment Research, Inc Fairfield IA 03/2004 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 03/2005 Present
Previous Registrations
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-1/WK-1/TRADING. SEE EMPLOYMENT FOR START DATE. 3) FORGY FINANCIAL, LLC, 11872 W. 91st St., Overland Park KS 66214, United States, 03/25/2004, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-03
S63 Uniform Securities Agent State Law Examination 1981-03-18
  • S65 Uniform Investment Adviser Law Examination
    1998-08-03
  • S63 Uniform Securities Agent State Law Examination
    1981-03-18
Other Names
  • Brad See

View on SEC IAPD

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