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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-12-15 |
| TX | RA | APPROVED | 2022-12-15 |
Branch Locations
17505 W Catawba Ave. Ste. 100, Cornelius, NC 28031 • United States
1212 Mann St. Ste. 200, Matthews, NC 28105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pilot Life Insurance Co | Charlotte | NC | 05/1977 | Present |
| Lincoln Financial Securities Corporation | Charlotte | NC | 07/2008 | 12/2022 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 12/2022 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 12/2022 | Present |
1. SPORTSMANS CLUB OF CHARLOTTE, 3332 Champagne Street, Charlotte NC 28210, United States, 03/16/2014, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 3 HR/MO - 0 HR/MO TRADING 2. HIGH SCHOOL REUNION COMMITTEE, 1113 Greenbridge Dr, Matthews NC 28105, United States, 05/17/2021, Board Member, Volunteer, NIR, 1 HR/MO - 0 HR/MO TRADING 3. J E MISLE, 1212 Mann Drive, Suite 100, Matthews NC 28277-4784, United States, 12/10/2013, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 1 HR/MO TRADING 4. PRIOR WEALTH PLANNING, 1212 Mann Drive, Suite 200, Matthews NC 28105, United States, 12/22/2022, Agent, Insurance/Benefits/Human Resources, NIR, 60 HR/MO - 60 HR/MO TRADING 5. CIRA / 1776 Pleasant Plain Rd, Fairfield IA 52556 / 12/2022 / CIRA AFFILIATION / INV REL / 160 HR/MO 120 HR TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-31 |
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