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Current Employers
Cambridge Investment Research Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-12-09
  • CA RA
    APPROVED
    Since 2022-12-09

Branch Locations

2102 Frascati Dr., El Dorado Hills, CA 95762 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Alpine Wildfire Service Reno NV 06/1987 Present
Cantella & Co., Inc. Walnut Creek CA 11/1995 12/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2022 Present
Cambridge Investment Research, Inc. Fairfield IA 12/2022 Present
Cantella & Co., Inc. Malden MA 11/1995 03/2023
  • 06/1987 → Present
    Alpine Wildfire Service
    Reno, NV
  • 11/1995 → 12/2022
    Cantella & Co., Inc.
    Walnut Creek, CA
  • 12/2022 → Present
    Fairfield, IA
  • 12/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 11/1995 → 03/2023
    Cantella & Co., Inc.
    Malden, MA
Previous Registrations
  • 2008-07-14 → 2023-04-03
    Cantella & Co., Inc.
    El Dorado Hills, CA
    Malden, MA
    Malden, MA
  • 2007-09-27 → 2008-07-11
    Crocker Securities Llc
    El Dorado Hills, CA
    Boca Raton, FL
    Chico, CA
    Miami, FL
Other Businesses

1) ALPINE WILDFIRE, EL DORADO HILLS CA, 11/2021, W2 Employee, Using Trade Name/dba, NIR, 10 HR/MO, 0 HR/MO Trading, 2) KBM ADVISORS INC, El Dorado Hills CA, 05/2008, W2 Employee, Owner/Partner of a Business Entity, NIR, 10 HR/MO, 0 HR/MO Trading 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 12/2022, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING 4) KBM ADVISORS INC, 2102 Frascati Dr, El Dorado Hills CA 95762, United States, 05/01/2008, W2 Employee, Owner/Partner of a Business Entity, NIR, 10 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-14
S63 Uniform Securities Agent State Law Examination 1993-11-04
  • S66 Uniform Combined State Law Examination
    2007-05-14
  • S63 Uniform Securities Agent State Law Examination
    1993-11-04

View on SEC IAPD

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