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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2017-11-21
  • NH RA
    APPROVED
    Since 2017-11-21

Branch Locations

19 Chenell Drive, Ste. 1A, Concord, NH 03301 • 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 Securities Corporation Concord NH 07/2008 11/2017
Cambridge Investment Research, Inc. Fairfield IA 11/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2017 Present
  • 07/2008 → 11/2017
    Lincoln Financial Securities Corporation
    Concord, NH
  • 11/2017 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 11/2017 → Present
    Fairfield, IA
Previous Registrations
  • 2004-05-24 → 2017-12-08
    Osaic Fs, Inc.
    Concord, NH
    Newport, NH
    Dover, NH
    Concord, NH
    Quechee, VT
  • 2002-09-05 → 2004-06-18
    Ws Griffith Securities, Inc.
    Hartford, CT
Other Businesses

1.YMCA Camp Coniston, 24 Main Camp Rd, Grantham, NH 03753, Board member since 10/2/03, non-investment related, 3/monthly-3/trading. 2.Town of Bow, 10 Grandview Rd., Bow, NH 03304, trustee of trust funds since 5/16/06, non-investment, 5/monthly-4/trading. 3.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. 4.INDEPENDENT INSURANCE AGENT, 46 North State Street, Concord, NH 03301, since 1/1/13, THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 8/monthly - 8/TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-12-01
  • S63 Uniform Securities Agent State Law Examination
    1997-12-01
Designations

View on SEC IAPD

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