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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2020-01-31
TX RA APPROVED 2020-01-24
  • NE RA
    APPROVED
    Since 2020-01-31
  • TX RA
    APPROVED
    Since 2020-01-24

Branch Locations

Omaha, NE • 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
Mml Investors Services, Inc. Omaha NE 03/1996 01/2020
Massmutual Springfield MA 03/1996 01/2020
Cambridge Investment Research, Inc. Fairfield IA 01/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2020 Present
  • 03/1996 → 01/2020
    Mml Investors Services, Inc.
    Omaha, NE
  • 03/1996 → 01/2020
    Massmutual
    Springfield, MA
  • 01/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 01/2020 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING.01/31/20, SEE EMPLOYMENT FOR START DATE. 2) POLK FARM, HWY 92M RD C, POLK, NE, FARM OWNER, NIR, 5/MO- 5/TRADING 3) THE HARRY A KOCH COMPANY, 14010 FNB PARKWAY, STE 300, OMAHA NE, VICE PRESIDENT, 01/11/19, NIR, 30/WK- 6/TRADING 4) OMAHA ESTATE PLANNING COMMITTEE, PO BOX 641461, OMAHA,NE, BOARD MEMBER OF A NON-PUBLIC ENTITY, MULTI PROFESSIONAL ESTATE PLANNING COUNCIL, 01/01/08, NIR, 4/MO- 4/TRADING 5) MERRICK COUNTY FARM, Omaha NE 68114, 04/2021, Owner/Partner of a Business Entity, FARM REAL ESTATE, NIR, 5 HR/M0 - 0 HR/MO TRADING 6) FNIC TRUSTED INSURANCE ADVISORS, 14010 FNB Parkway, Suite 300, Suite 345, Omaha NE 68154, 01/11/2019, Agent, Insurance/Benefits/Human Resources, NIR, 120 HR/MO - 24 HR/MO TRADING 7) ST PETER FINANCE COMMITTEE, 709 S 28th Street, Omaha NE 68105, 10/2023, Committee Member, NIR, 1 HR/MO - 0 HR/MO TRADING. 8) ST. PIUS X / ST. LEO EDUCATIONAL ENDOWMENT TRUST FUND, 6905 Blondo Street, Omaha NE 68104, United States, START DATE 01/2026, Board Member, Volunteer, NIR, HR/MO 0, HR/MO TRADING 0 9) HAKCO FINANCIAL, 1526 N 102nd Ave, Omaha NE 68114, 01/19/2019, Investment Advisor Representative, Insurance/Benefits/Human Resources, NIR, 100 HR/MO - 80 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-08
S63 Uniform Securities Agent State Law Examination 1983-03-16
  • S65 Uniform Investment Adviser Law Examination
    1999-10-08
  • S63 Uniform Securities Agent State Law Examination
    1983-03-16
Designations

View on SEC IAPD

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