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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-10-30
  • CA RA
    APPROVED
    Since 2017-10-30

Branch Locations

20632 Redwood Rd. Ste E, Castro Valley, CA 94546 • 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
Thomas Nohr Castro Valley CA 05/1998 Present
Sonoma Travel Service Petaluma CA 05/2003 Present
Successful Financial Education Castro Valley CA 11/1998 Present
National Planning Corporation Castro Valley CA 05/2003 10/2017
Cambridge Investment Research, Inc. Fairfield IA 10/2017 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 Present
Wymac Capital Inc Walnut Creek CA 04/2002 Present
  • 05/1998 → Present
    Thomas Nohr
    Castro Valley, CA
  • 05/2003 → Present
    Sonoma Travel Service
    Petaluma, CA
  • 11/1998 → Present
    Successful Financial Education
    Castro Valley, CA
  • 05/2003 → 10/2017
    National Planning Corporation
    Castro Valley, CA
  • 10/2017 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 10/2017 → Present
    Fairfield, IA
  • 04/2002 → Present
    Wymac Capital Inc
    Walnut Creek, CA
Previous Registrations
  • 2003-06-03 → 2017-11-01
    National Planning Corporation
    Glastonbury, CT
    Castro Valley, CA
    Castro Valley, CA
  • 1998-04-17 → 2003-06-02
    Castro Valley, CA
Other Businesses

1. SONOMA TRAVEL SERVICE, 725 E WASHINGTON ST, #100, PETAMLUMA, CA, 8/2012 AS TRAVEL AGENT/TOUR LEADER. NIR - 1/WK - 0/TRADING. 2. INDEPENDENT INSURANCE AGENT, 20632 REDWOOD RD, STE E, CASTRO VALLEY, CA, 5/1998 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/MO - 1/TRADING. 3. Successful Financial Education Workshops, 20632 Redwood RD Suite 3 Castro Valley, CA 94546. President. DBA only. 11/02/1998. Investment related/ 0/weekly 0/trading. 4. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-10
S63 Uniform Securities Agent State Law Examination 1995-11-08
  • S65 Uniform Investment Adviser Law Examination
    1997-01-10
  • S63 Uniform Securities Agent State Law Examination
    1995-11-08
Designations

View on SEC IAPD

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