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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-02-14
NJ RA APPROVED 2020-08-24
  • FL RA
    APPROVED
    Since 2022-02-14
  • NJ RA
    APPROVED
    Since 2020-08-24

Branch Locations

414 Central Ave, Westfield, NJ 07090 • United States

Boca Raton, FL • United States

Disclosures

3 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Fcg Advisors, Llc Chatham NJ 08/1996 Present
Cambridge Investment Research, Inc. Fairfield IA 08/2020 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 08/2020 Present
Previous Registrations
  • 2016-03-29 → 2020-12-31
    Fcg Wealth Management, Llc
    Westfield, NJ
  • 2002-07-30 → 2016-03-23
    Fcg Advisors, Llc
    Westfield, NJ
    Chatham, NJ
Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 08/2020, ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 2) SPECIAL STRIDES, 118 FEDERAL ROAD, MONROE, NJ, 01/2015, BOARD MEMBER, CHARITABLE ORGANIZATION, NIR, 2 HR/MO, 0 HR/MO TRADING. 3) POLO CLUB, 5400 CHAMPION BLVD, BOCA RATON, FL, CHAIRMAN, COMMITTEE MEMBER, 08/2021, NIR, 1 HR/MO, 0 HR/MO TRADING. 5) VILLA DE CAPRI BOARD OF DIRECTORS, CREST MANAGEMENT GROUP, INC, 6413 CONGRESS AVE, SUITE 100, BOCA RATON, FL, 03/2022, COMMUNITY ASSOCIATION, NIR, 4 HR/MO, 0 HR/MO TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-21
S63 Uniform Securities Agent State Law Examination 1986-02-27
  • S65 Uniform Investment Adviser Law Examination
    1992-11-21
  • S63 Uniform Securities Agent State Law Examination
    1986-02-27

View on SEC IAPD

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