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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2010-01-13
  • NC RA
    APPROVED
    Since 2010-01-13

Branch Locations

Asheville, NC • 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
The Variable Annuity Marketing Company Durham NC 07/1996 Present
Cambridge Investment Research, Inc Fairfield IA 01/2010 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 01/2010 Present
  • 07/1996 → Present
    The Variable Annuity Marketing Company
    Durham, NC
  • 01/2010 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 01/2010 → Present
    Fairfield, IA
Previous Registrations
Other Businesses

1)SCOTT FINANCIAL PLANNING AND INVESTMENTS LLC, 213 EXECUTIVE PARK, ASHEVILLE, NC, 1/2010 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INVESTMENT RELATED, - 3 HR/MO - 3/TRADING. 2)SCOTT FINANCIAL PLANNING & INVESTMENTS LLC 213 EXECUTIVE PARK ASHEVILLE, NC 28801. BEGAN 11/23/2009 AS OWNER. INVESMENT RELATED. DEVOTES 50 HRS/WK. 30 HRS DURING TRADING. 3)ESTATE OF STEVE AND LINDA PARKER 52 WELLINGTON DRIVE ASHEVILLE, NC 28804. BEGAN 01/01/2009 AS EXECUROT OF ESTATE AT TIME OF DEATH IN THE FUTURE. NOT INVESTMENT RELATED. DEVOTES 0 HRS. 4)SCOTT FINANCIAL PLANNING & INVESTMENT LLC, 9 ELK MOUNTAIN RD, ASHEVILLE, NC, 1/2017, AS OWNER FOR SUBLETTING OFFICES IN LEASED SPACE, NIR, 2HRS/YR, 2HRS/TRADING. 5)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10 HR/WK - 10/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6.WAGB LLC, 9 ELK MOUNTAIN RD, ASHEVILLE, NC, 11/2018 AS LLC OWNER BUYING AND MANAGING REAL ESTATE. NIR - 2/MO - 0/TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-20
S63 Uniform Securities Agent State Law Examination 1991-06-21
  • S65 Uniform Investment Adviser Law Examination
    1995-12-20
  • S63 Uniform Securities Agent State Law Examination
    1991-06-21
Designations

View on SEC IAPD

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