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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_RES 2020-08-04
WA RA APPROVED 2015-12-01
  • TX RA
    APPROVED_RES
    Since 2020-08-04
  • WA RA
    APPROVED
    Since 2015-12-01

Branch Locations

14205 Se 36Th St. Ste 100, Bellevue, WA 98006 • 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 12/2015 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2015 Present
Previous Registrations
Other Businesses

1.DWAYNE A DILLEY, INDEPENDENT INSURANCE AGENT, 10900 NE 8TH ST, STE 1000, BELLEVUE, WA, 1/1987 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/MO - 0/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 4/TRADING. 12/01/15. 3. PUGET SOUND RETIREMENT SERVICES, 10900 NE 8TH ST STE 1000, BELLEVUE, WA, 12/2015. FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-48/WK-20/TRADING. 4. DWAYNE A DILLEY, 14205 SE 36TH ST, Suite 100, Bellevue WA 98006, United States, 02/09/2019, Agent, Notary, NIR, 1 HR/MO - 1 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-25
S63 Uniform Securities Agent State Law Examination 1987-01-08
  • S65 Uniform Investment Adviser Law Examination
    1996-06-25
  • S63 Uniform Securities Agent State Law Examination
    1987-01-08

View on SEC IAPD

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