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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-10-05
VA RA APPROVED 2011-09-29
  • TX RA
    APPROVED
    Since 2017-10-05
  • VA RA
    APPROVED
    Since 2011-09-29

Branch Locations

3761 Westerre Pkwy Ste C, Richmond, VA 23233 • United States

700 Tech Center Pkwy. Ste 200, Newport News, VA 23606 • United States

2330 Commonwealth Dr. Ste. 200, Charlottesville, VA 22901 • 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
Cambridge Investment Research, Inc Fairfield IA 09/2011 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 09/2011 Present
Previous Registrations
  • 2004-01-02 → 2011-10-06
    Tower Square Securities, Inc.
    Richmond, VA
    Richmond, VA
    Richmond, VA
  • 2002-07-15 → 2003-12-31
    Richmond, VA
Other Businesses

1) GREENWOOD FINANCIAL GROUP, 3761 WESTERRE PKWY STE C, RICHMOND, VA, 7/01/1983 AS CEO/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20 HR/MO - 20/TRADING. 2) RICHMOND FINANCIAL ASSOCIATES, 3761 WESTERRE PKWY STE C, RICHMOND, VA; PRESIDENT OF LLC; START DATE: 10/01/08; NIR, 0 HRS/MO, 0 HRS TRADING; THIS LLC IS USED ONLY TO PAY THE BILLS FOR THE BUSINESS CONDO AND ALL BUSINESS-RELATED NEEDS. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 9/2011 AS ADVISORY REP OF A RIA. INV REL - 5 HR/WK - 5/TRADING. 4) GREENWOOD FINANCIAL GROUP GOLF, 3761 WESTERRE PARKWAY-SUITE C, RICHMOND, VA. BEGAN 4/1/2014 AS VICE-PRESIDENT . NOT INVESTMENT RELATED. DEVOTES 10 HOURS/YEAR, NONE DURING TRADING. NON-PROFIT ORGANIZATION. 5) CONDO OWNER, 14810 GILMAN'S CROSS COURT, GLEN ALLEN, VA, RENTAL TO IN-LAWS 10/01/05, NIR, 5 HR/YR- 0/TRADING HR. 6) EMPLOYEE BENEFITS CORPORATION OF AMERICA, 12580 W CREEK PKWY, RICHMOND, VA, 12/01/2016 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3/MO - 0/TRADING. 7) G DOUGLAS GREENWOOD AND ASSOCIATES, 3761 WESTERRE PKWY C, RICHMOND, VA, 11/01/2017 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 1/TRADING. 8) SHORELINE VILLAS HOA, north myrtle beach SC, 12/2023, PRESIDENT, NIR, 1 HR/MO - 0 HR TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-07
S63 Uniform Securities Agent State Law Examination 1987-01-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-07
  • S63 Uniform Securities Agent State Law Examination
    1987-01-06
Designations

View on SEC IAPD

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