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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 2020-03-16
NC RA APPROVED 2020-02-01
  • TX RA
    APPROVED
    Since 2020-03-16
  • NC RA
    APPROVED
    Since 2020-02-01

Branch Locations

2313 Randolph Rd., Charlotte, NC 28207 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Advisory Services Columbus OH 04/2001 Present
Nationwide Insurance Company Columbus OH 01/2001 Present
Nationwide Financial Network Newark DE 06/2007 Present
1717 Capital Management Newark DE 06/2007 Present
Nationwide Securities, Inc. Charlotte NC 08/2008 12/2019
Cambridge Investment Research, Inc. Fairfield IA 01/2020 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2020 Present
  • 04/2001 → Present
    Nationwide Advisory Services
    Columbus, OH
  • 01/2001 → Present
    Nationwide Insurance Company
    Columbus, OH
  • 06/2007 → Present
    Nationwide Financial Network
    Newark, DE
  • 06/2007 → Present
    1717 Capital Management
    Newark, DE
  • 08/2008 → 12/2019
    Nationwide Securities, Inc.
    Charlotte, NC
  • 01/2020 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 01/2020 → Present
    Fairfield, IA
Previous Registrations
  • 2008-08-01 → 2019-12-31
    Charlotte, NC
    Charlotte, NC
  • 2007-11-02 → 2008-08-01
    1717 Capital Management Company
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Raleigh, NC
    Charlotte, NC
    Charlotte, NC
Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 2.HAUSMANN FINANCIAL WEALTH MANAGEMENT, 2313 RANDOLPH ROAD, CHARLOTTE, NC, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 12/WK- 10/TRADING 3.HAUSMANN PROPERTIES, 2313 RANDOLPH RD, CHARLOTTE, NC, RENTAL HOME OWNER, 4 UNIT OFFICE CONDO, 06/05/09, VRBO WEBSITE TO BOOK AND RENT OUR HOME- NOT CLIENTS, NIR, 2.5/WK, 1/TRADING. 4.TGHAUSMANN, LLC, 2313 Randolph Rd, Charlotte NC 28207, United States, 01/01/2005, Owner, Insurance/Benefits/Human Resources, NIR, 30 HR/MO - 30 HR/MO TRADING 5.CAROLINAS COVERAGE INSURANCE AGENCY, LLC, 410 Westinghouse Blvd, Ste. B, Charlotte NC 28273, United States, 04/29/2022, Owner, Insurance/Benefits/Human Resources, NIR, 6.HAUSMANN INSURANCE & FINANCIAL SERVICES, 2313 Randolph Rd, Charlotte NC 28207, United States, 01/01/2005, Owner, Insurance/Benefits/Human Resources, NIR, 30 HR/MO - 30HR/MO TRADING 7. ARROWSTAR FINANCIAL INC., 2313 Randolph Rd, Charlotte NC 28207, United States, 01/01/2020, Agent, DBA Name, NIR, 25 HR/MO - 25 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-08
S65 Uniform Investment Adviser Law Examination 1999-05-10
S63 Uniform Securities Agent State Law Examination 1987-09-04
  • S66 Uniform Combined State Law Examination
    2007-06-08
  • S65 Uniform Investment Adviser Law Examination
    1999-05-10
  • S63 Uniform Securities Agent State Law Examination
    1987-09-04
Designations
Other Names
  • Tim Hausmann

View on SEC IAPD

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