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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 2019-01-17
MA RA APPROVED 2018-08-16
  • TX RA
    APPROVED_RES
    Since 2019-01-17
  • MA RA
    APPROVED
    Since 2018-08-16

Branch Locations

8 Main St., Florence, MA 01062 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Mml Investors Services, Llc Florence MA 07/2016 08/2018
Cambridge Investment Research, Inc. Fairfield IA 08/2018 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 08/2018 Present
Previous Registrations
  • 2017-03-25 → 2018-08-08
    Florence, MA
  • 2016-11-14 → 2017-03-25
    Msi Financial Services, Inc.
    Florence, MA
Other Businesses

1) HAMPSHIRE/FRANKLIN COUNTY AGRICULTURAL SOCIETY, 41 FAIR STREET NORTHAMPTON MA, BOARD MEMBER, NON-PROFIT, 12/2017, 3 HR/MO 0 HR/MO TRADING 2) HAMPSHIRE FRANKLIN & HAMPDEN AGRICULTURAL SOCIETY, 54 FAIR ST NORTHAMPTON MA, 01/2019, ASST TREASURER, NON-PROFIT, NIR, 6/MO 0/TRADING 3) RENTAL PROPERTY OWNER, 9 DONNA MARIE WAY SOUTHAMPTON MA, 10/2017, NIR, 2/WK 0/TRADING 4) FLORENCE BUSINESS AND CIVIC ASSOCIATION, PO BOX 6020 FLORENCE MA, 03/2018, BOARD MEMBER, CIVIC, NIR, 16 HR/MO 0 HR/MO TRADING 5) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA, INV REL, 20/WK 20/TRADING, 08/2018 6) STREETLIGHT FINANCIAL REAL ESTATE LLC, 8 MAIN STREET FLORENCE MA, PARTNER 50% LANDLORD BUILDING RENTAL, NIR, 1/MO O/TRADING 7) STREETLIGHT ON-DEMAND, 8 MAIN STREET FLORENCE MA, ADV REP OF A REG INV ADV, 10/2020, INV REL, PARTNER, 5/WK 4/TRADING 8) STREETLIGHT FINANCIAL FOUNDATION, 8 MAIN STREET FLORENCE MA, NON-PROFIT FOR COMMUNITY EFFORT "FOUNDATION" 03/2021, NIR, VICE PRESIDENT, 03/2021, NIR, 3 HR/WK 0/TRADING HR 9) STREETLIGHT FINANCIAL, LLC, 8 MAIN STREET FLORENCE MA 01062, 07/1983, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 40 HR/MO 0 HR/MO TRADING 10) MARK P.VACLAVICEK, 25-27 Claremont Avenue, Holyoke MA 01040, 04/2023, Owner, Real Estate, NIR, 5 HR/MO - 0 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-02
S63 Uniform Securities Agent State Law Examination 1985-02-05
  • S65 Uniform Investment Adviser Law Examination
    2016-11-02
  • S63 Uniform Securities Agent State Law Examination
    1985-02-05

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