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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 2019-04-18
MO RA APPROVED 2016-11-07
  • TX RA
    APPROVED_RES
    Since 2019-04-18
  • MO RA
    APPROVED
    Since 2016-11-07

Branch Locations

4971 Ne Goodview Circle, Suite A, Lee's Summit, MO 64064 • 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
Lincoln Financial Advisors Corporation Overland Park KS 06/1998 11/2016
Cambridge Investment Research, Inc. Fairfield IA 11/2016 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2016 Present
  • 06/1998 → 11/2016
    Lincoln Financial Advisors Corporation
    Overland Park, KS
  • 11/2016 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 11/2016 → Present
    Fairfield, IA
Previous Registrations
  • 1999-09-28 → 2016-12-07
    Osaic Fa, Inc.
    Lee'S Summit, MO
    Lee'S Summit, MO
    Overland Park, KS
Other Businesses

1)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 100 HR/MO - 6/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2)SPORTS OFFICIAL, LEE'S SUMMIT, MO, 9/1997. NIR - 200 HR/YR - 0/TRADING. 3)WILLIAM RICHARD (RICK) HENKS DBA HENKS FINANCIAL GROUP, 4971 NE GOODVIEW CIRCLE, SUITE A, LEE'S SUMMIT, MO, 11/07/2016, Owner, Insurance/Benefits/Human Resources, INV REL - 30 HR/MO - 1/TRADING. 4)AUTHOR, LEE'S SUMMIT, MO, 10/2009 - WRITING OF FICTION AND NON-FICTION SHORT STORIES, POEMS, ESSAYS, AND MUSIC LYRICS. NIR - 10 HR/MO - 0/TRADING. 5)INDEPENDENCE SYMPHONY ORCHESTRA INC: DBA HERITAGE PHILHARMONIC, LEE'S SUMMIT, MO, AS BOARD MEMBER & OFFICER. NIR - 4 HR/MO - 0/TRADING. 6)DLB INVESTMENTS LC, 4971 NE GOODVIEW CIR, STE A, LEE'S SUMMIT, MO, 8/2001 AS MANAGING MEMBER OF FAMILY OWNERS LLC TO OWN FARMLAND AND OTHER INVESTMENTS. NIR - 6 HR/YR - 0/TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-05-17
  • S63 Uniform Securities Agent State Law Examination
    1980-05-17
Designations
Other Names
  • Rick Henks

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