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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 2025-01-16
VA RA APPROVED 2020-12-02
  • TX RA
    APPROVED
    Since 2025-01-16
  • VA RA
    APPROVED
    Since 2020-12-02

Branch Locations

2103 A Electric Rd., Roanoke, VA 24018 • 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
Kettering Financial Advisory Group, Ltd Roanoke VA 12/2011 12/2020
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2020 Present
Previous Registrations
  • 2016-12-16 → 2020-12-03
    Kettering Financial Advisory Group, Ltd
    Roanoke, VA
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 12/02/20. 2) HALE FINANCIAL SERVICES, LLC, 2103 A ELECTRIC RD, ROANOKE, VA 24018, 01/2021, OWNER, PRESIDENT, INV REL, 160 HR/MO - 120 HR/MO TRADING. 3) Hale Financial Services, LLC, Roanoke VA 24018, 12/2020, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-16
  • S65 Uniform Investment Adviser Law Examination
    2016-12-16

View on SEC IAPD

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