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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-07-12 |
| TX | RA | APPROVED_RES | 2019-07-07 |
Branch Locations
Enterprise Place, 3401 Enterprise Pkwy Ste 220, Beachwood, OH 44122 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pepper Pike | OH | 02/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pepper Pike | OH | 11/2016 | 07/2019 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2019 | Present |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2019 | Present |
1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) DAVID ZELMAN, 08/2023, TRUST PROTECTOR, POSITION OF TRUST, NIR, 0 HR/MO - 0 HR/MO TRADING. 3) WERNICK SPEAR WEALTH MANAGERS, 3401 Enterprise Pkwy Ste 220, Enterprise Place, Beachwood OH 44122, United States, 07/12/2019, IAR, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-06 |
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