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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2017-07-24 |
| TX | RA | APPROVED | 2017-07-24 |
Branch Locations
33 W Missouri Ave., Phoenix, AZ 85013 • United States
Tuscon, AZ • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co | Tucson | AZ | 06/2005 | 10/2016 |
| Ameriprise Financial Services, Inc. | Phoenix | AZ | 10/2016 | 07/2017 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2017 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2017 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-40/WK-30/TRADING.07/24/17, SEE EMPLOYMENT FOR START DATE. 2) Uncle Biffs Cookies 6239 n 7th Street STE 100, Phoenix, AZ 85014. 10/02/2017. Loan Guarantor for Construction Build out. Not investment related, 4/monthly, 0/trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-28 |
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