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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-04-16
  • VA RA
    APPROVED
    Since 2021-04-16

Branch Locations

4050 Innslake Dr. Ste. 110, Glen Allen, VA 23060 • 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
Lincoln Financial Securities Corporation Glen Allen VA 12/2014 04/2021
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2021 Present
Cambridge Investment Research, Inc. Fairfield IA 04/2021 Present
  • 12/2014 → 04/2021
    Lincoln Financial Securities Corporation
    Glen Allen, VA
  • 04/2021 → Present
    Fairfield, IA
  • 04/2021 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2014-12-23 → 2021-04-20
    Osaic Fs, Inc.
    Glen Allen, VA
    Winchester, VA
  • 2013-04-26 → 2014-12-31
    Glen Allen, VA
  • 2009-06-01 → 2013-05-22
    Richmond, VA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Richmond, VA
  • 2003-11-06 → 2007-04-02
    Morgan Stanley Dw Inc.
    Richmond, VA
    Richmond, VA
  • 2002-04-04 → 2003-11-07
    Osaic Fs, Inc.
    Glen Allen, VA
Other Businesses

1) MICHAEL MULDOWNEY, INSURANCE AGENT SALES, VA, 05/14/21, NIR, 0 HR/MO- 0/TRADING HR. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-80 HR/MO-80/TRADING. 04/16/21 3) RIVER CITY FINANCIAL, 4050 Innslake Drive, Ste 110, GLEN ALLEN VA 23060-3327, United States, Vice President, Using a Trade Name / DBA, NIR, 174HR/MO - 174 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-26
S63 Uniform Securities Agent State Law Examination 1987-01-29
  • S65 Uniform Investment Adviser Law Examination
    1996-06-26
  • S63 Uniform Securities Agent State Law Examination
    1987-01-29
Designations

View on SEC IAPD

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