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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2010-04-22
  • CT RA
    APPROVED
    Since 2010-04-22

Branch Locations

14 Perrin Road, Woodstock, CT 06281-2714 • 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
Cambridge Investment Research, Inc Fairfield IA 01/2004 Present
Ing Financial Partners, Inc. Des Moines IA 01/2004 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2010 Present
Previous Registrations
Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-28
S63 Uniform Securities Agent State Law Examination 1992-07-13
  • S65 Uniform Investment Adviser Law Examination
    1998-09-28
  • S63 Uniform Securities Agent State Law Examination
    1992-07-13
Designations

View on SEC IAPD

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