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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-12-02
IL RA APPROVED 2014-10-30
  • FL RA
    APPROVED
    Since 2021-12-02
  • IL RA
    APPROVED
    Since 2014-10-30

Branch Locations

800 Roosevelt Road, Bldg. B, Suite 413, Glen Ellyn, IL 60137 • United States

Venice, FL • 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
Principal Resource Group Glen Ellyn IL 08/1996 Present
Cambridge Investment Research Inc Fairfield IA 10/2014 Present
Cambridge Investment Research Advisors Inc Fairfield IA 10/2014 Present
Previous Registrations
  • 1999-11-22 → 2014-10-30
    Sunset Financial Services, Inc.
    Glen Ellyn, IL
    Glen Ellyn, IL
Other Businesses

1) PRINICPAL RESOURCE GROUP, 21W766 CLIFFORD GLEN ELLYN IL, 08/1996, PRESIDENT, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 80 HR/MO 80 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 120 HR/MO 80 HR/MO TRADING, 10/2014 3) PRINCIPAL RESOURCE GROUP, 800 ROOSEVELT RD STE B413 GLEN ELLYN IL, PRESIDENT, CO-AUTHOR: DOING MORE WITH LESS: 21ST CENTURY BENEFIT STRATEGIES TO REDUCE COSTS, MAXIMIZE HUMAN CAPITAL, AND DRIVE MORE DOLLARS TO THE BOTTOM LINE, 07/2015. NIR, 24 HR/YR 0/TRADING 4) PRINCIPAL RESOURCE GROUP, 21 W766 CLIFFORD RD GLEN ELLYN IL, PRESIDENT, CO-AUTHOR: BREAKING THROUGH THE STATUS QUO- HOW INNOVATIVE COMPANIES ARE CHANGING THE BENEFITS GAME TO HELP THEIR EMPLOYEES AND BOOST THEIR BOTTOM LINE, 11/2017. NIR, 40/YR 0/TRADING 5) PRINCIPAL RESOURCE GROUP, 800 ROOSEVELT ROAD BUILDING B STE 413 GLEN ELLYN IL, DIVORCE AND RETIREMENT INCOME PLANNING, PRESIDENT, 12/2020, INV REL, 16 HR/YR 16/TRADING HR 6) MY FINANCIAL ADVISOR A DIVISION OF PRINCIPAL RESOURCE GROUP, 800 Roosevelt Road, Building B, Suite 413, Glen Ellyn IL 60137, 02/2020, Owner, DBA Name, NIR, 160 HR/MO, 130 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-01
S63 Uniform Securities Agent State Law Examination 1994-08-23
  • S65 Uniform Investment Adviser Law Examination
    1999-11-01
  • S63 Uniform Securities Agent State Law Examination
    1994-08-23
Other Names
  • Karin Louise Marrs

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