Jason Dockery

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2023-11-08
SC	RA	APPROVED	2023-11-01

NC RA
APPROVED

Since 2023-11-08
SC RA
APPROVED

Since 2023-11-01

Branch Locations

Charlotte, NC • United States

331 Alcove Road Suite 200, Mooresville, NC 28117 • United States

2752 Pleasant Rd. Ste. 108, Ft Mill, SC 29708 • 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

Organization	City	State	From	To
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	11/2023	Present
Wells Fargo	Charlotte	NC	08/2005	11/2023

11/2023 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
08/2005 → 11/2023

Wells Fargo

Charlotte, NC

Other Businesses

1) Wells Fargo, Charlott NC 28201, 08/2005, W2 Employee, Technology Services, NIR, 40 HR/MO, 25 Trading 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-10-09

S65 Uniform Investment Adviser Law Examination

2023-10-09

View on SEC IAPD