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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 2019-07-10
IL RA APPROVED 2009-04-16
  • TX RA
    APPROVED
    Since 2019-07-10
  • IL RA
    APPROVED
    Since 2009-04-16

Branch Locations

1700 E Golf Road Suite #250, Schaumburg, IL 60173 • 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
Self Employed Chicago IL 01/1995 Present
Cambridge Investment Research, Inc Fairfield IA 04/2009 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 04/2009 Present
Preferred Planning Concepts Des Plaines IL 01/2000 Present
  • 01/1995 → Present
    Self Employed
    Chicago, IL
  • 04/2009 → Present
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 04/2009 → Present
    Fairfield, IA
  • 01/2000 → Present
    Preferred Planning Concepts
    Des Plaines, IL
Previous Registrations
  • 2000-01-10 → 2009-04-21
    Tower Square Securities, Inc.
    Des Plaines, IL
    Desplaines, IL
Other Businesses

1)PREFERRED PLANNING CONCEPTS LLC, 1700 E Golf Road, Suite 250, Schaumburg IL 60173, 06/01/2002, INDEPENDENT INSURANCE AGENT, INSURANCE, INV REL, 80 HR/MO - 80 HR/MO TRADING 2)NICHOLSON FINANCIAL STRATEGIES INC, 35W730 OLD BARN RD, DUNDEE, IL, 1/01/2000 AS OWNER/CEO OF SUB S-CORP FOR TAX PURPOSES. INV REL - 0 HRS. 3)CIRA, 1776 Pleasant Plain Road, Fairfield IA 52556, 11/16/2022, INVESTMENT ADVISOR REPRESENTATIVE, CIRA AFFILIATION, INV REL, 160 HR/MO - 150 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-04-22
  • S63 Uniform Securities Agent State Law Examination
    1993-04-22
Designations
Other Names
  • Dave Nicholson

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