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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2019-10-08
TX RA APPROVED_RES 2019-10-01
  • KS RA
    APPROVED
    Since 2019-10-08
  • TX RA
    APPROVED_RES
    Since 2019-10-01

Branch Locations

3500 N Rock Rd. Ste 300-A, Wichita, KS 67226 • United States

Financial Benefits, Inc

3500 N. Rock Road Bldg 300, Wichita, KS 67226 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 1988-10-26
  • KS RA
    APPROVED
    Since 1988-10-26

Branch Locations

3500 N Rock Rd, Bldg 300A, Wichita, KS 67226 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Financial Benefits Inc Wichita KS 03/1988 Present
Cambridge Investment Research Fairfield IA 05/2000 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2019 Present
Previous Registrations
Other Businesses

1) FINANCIAL BENEFITS INC, 3500 N ROCK RD, BLDG 300A, WICHITA, KS, 10/1986, OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 110 HR/MO, 110 HR/MO TRADING. 2) RICHARD STUMPF, NOTARY PUBLIC, 3500 N ROCK RD, BLDG 300A, WICHITA, KS, 01/2000, NIR, 2 HR/YR, 2 HR/YR TRADING. 3) LFG ASSOCIATES LCC, 3500 N ROCK RD, BLDG 300A, WICHITA, KS, 03/2008, OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 15 HR/MO, 15 HR/MO TRADING. 4) GATEWAY PROPERTIES LLC, 3500 N ROCK RD, BLDG 300A, WICHITA, KS, 03/2000, OWNER, COMMERCIAL REAL ESTATE, NIR, 5 HR/MO, 0 HR/MO TRADING. 5) HOMESTEAD PROPERTIES LLC, LEON, KS, 03/2008, OWNER, RENTAL PROPERTY, NIR, 5 HR/MO, 0 HR/MO TRADING. 6) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-30
S63 Uniform Securities Agent State Law Examination 1986-02-14
  • S65 Uniform Investment Adviser Law Examination
    1998-09-30
  • S63 Uniform Securities Agent State Law Examination
    1986-02-14
Designations

View on SEC IAPD

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