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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 2021-05-13
NC RA APPROVED 2018-07-01
  • TX RA
    APPROVED_RES
    Since 2021-05-13
  • NC RA
    APPROVED
    Since 2018-07-01

Branch Locations

207 Western Boulevard, Jacksonville, NC 28546 • United States

2313 Randolph Rd., Charlotte, NC 28207 • United States

4815 Oleander Dr. Ste. 100, Wilmington, NC 28403 • United States

Raleigh, NC • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Insurance Columbus OH 05/2002 06/2018
Nationwide Securities Dublin OH 05/2002 06/2018
Nationwide Financial Network Newark DE 12/2006 06/2018
1717 Capital Management Company Newark DE 12/2006 Present
Nationwide Securities, Inc. Raliegh NC 08/2008 06/2018
Cambridge Investment Research, Inc. Fairfield IA 06/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2018 Present
  • 05/2002 → 06/2018
    Nationwide Insurance
    Columbus, OH
  • 05/2002 → 06/2018
    Nationwide Securities
    Dublin, OH
  • 12/2006 → 06/2018
    Nationwide Financial Network
    Newark, DE
  • 12/2006 → Present
    1717 Capital Management Company
    Newark, DE
  • 08/2008 → 06/2018
    Nationwide Securities, Inc.
    Raliegh, NC
  • 06/2018 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2018 → Present
    Fairfield, IA
Previous Registrations
  • 2008-08-01 → 2018-06-01
    Jacksonville, NC
    Raleigh, NC
    Raleigh, NC
  • 2007-02-01 → 2008-08-01
    1717 Capital Management Company
    Raleigh, NC
    Raliegh, NC
    Newark, DE
Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 1/WK - 1/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.Best Rates for Insurance the Wagner Group Inc, 207 WESTERN BLVD, STE A, JACKSONVILLE, NC, 10/01/2021, President, Insurance/Benefits/Human Resources, INV REL - 4HR/MO - 3/TRADING. 3.PAW INVESTMENTS LLC, RALEIGH, NC, 2/2008 AS MANAGER OF ENTITY TO HOLD REAL ESTATE AND INVESTMENTS. NIR - 2/MO - 0/TRADING. 4.ARROWSTAR FINANCIAL INC,, 207A Western Blvd, Jacksonville NC 28546, 11/2022, Investment Advisor Representative. DBA Name, INV REL - 5 /WK - 5 /TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-23
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1983-01-05
  • S66 Uniform Combined State Law Examination
    2006-08-23
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1983-01-05

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