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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-11-17
TX RA APPROVED_RES 2017-11-17
  • PA RA
    APPROVED
    Since 2017-11-17
  • TX RA
    APPROVED_RES
    Since 2017-11-17

Branch Locations

252 Broad Street, Montoursville, PA 17754 • 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
Voya Financial Advisors Montoursville PA 09/2014 11/2017
Cambridge Investment Research, Inc. Fairfield IA 11/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2017 Present
Previous Registrations
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. BROAD STREET FINANCIAL, 252 BROAD STREET, MONTOURSVILLE, PA, 11/2017. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-1/WK-1/TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1982-07-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1982-07-16
Designations
Other Names
  • William Joseph Mauro
  • Bill Mauro

View on SEC IAPD

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