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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2025-12-01
TX RA APPROVED_RES 2025-08-19
CT RA APPROVED 2025-08-18
  • PR RA
    APPROVED
    Since 2025-12-01
  • TX RA
    APPROVED_RES
    Since 2025-08-19
  • CT RA
    APPROVED
    Since 2025-08-18

Branch Locations

463 South Main St., Suffield, CT 06078 • 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 03/2011 Present
Retirement Doctor, Llc Suffield CT 08/2007 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2025 Present
Previous Registrations
Other Businesses

1)PROFESSIONAL INSURANCE BROKERAGE INC, 178 MOUNTAIN RD, SUFFIELD, CT, 1/1983 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/WK - .5/TRADING. 2)INDEPENDENT INSURANCE AGENT, 178 MOUNTAIN RD, SUFFIELD, CT, 9/1973 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/WK - 3/TRADING. 3) HARTFORD GUN CLUB, ROUTE 187, EAST GRANBY, CT 06026. MEMBER SINCE 09/06/84. NOT INVESTMENT RELATED. WORKS 6 HOURS MONTHLY NONE OF WHICH ARE DURING TRADING HOURS. DUTIES: SHOOTGUN RANGE. 4) MASONS, BRIDGE ST., SUFFIELD, CT 06078. MASON SINCE 06/06/09. NOT INVESTMENT RELATED. WORKS 1 HOUR WEEKLY NONE OF WHICH ARE DURING TRADING HOURS. DUTIES: N/A 5) RETIREMENT DOCTOR, LLC.,178 MOUNTAIN RD.,SUFFIELD, CT 06078. BEGAN 9/2012 AS MANAGING MEMBER PROVIDING EDUCATIONAL SEMINARS. DEVOTES 10 HR/MO- NONE DURING TRADING. 6) Enrique J. Alvarez, Owner, 463 S. Main Street, Suffield, CT, 06/01/2020, NIR, 4 hr/mo-0/trading hr. Buying and selling shotguns and hunting rifles. 7) Enrique's Ebay Business, Owner, 463 S. Main Street, Suffield, CT, NIR, 08/01/2001- 1 hr/mo- 0/trading hr. Occasionally buy and sell items.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-17
S63 Uniform Securities Agent State Law Examination 1982-04-02
  • S66 Uniform Combined State Law Examination
    2000-07-17
  • S63 Uniform Securities Agent State Law Examination
    1982-04-02
Designations
Other Names
  • Rick Alvarez
  • Enrique J Alvarez

View on SEC IAPD

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