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MARI DAWN LLOYD
DAWN LLOYD
CRD#: 4001731
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 Gilbert, AZ
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 Gilbert, AZ
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2002 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2020 (7 years)2 FIRMS2020 - Present (4 years)BATLAS SECURITIES, LLC (CRD# 20991)2002 - 2007 (5 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1999 - 2000 (<1 year)
Disclosure(s)
View By:
1/11/2018
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/18/2020

B
Florida 8/18/2020

IA
Arizona 8/24/2020

B
Texas 8/18/2020

B
California 8/18/2020

IA
Texas 8/19/2020

B
Colorado 8/18/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
Gilbert, AZ
Registered with this firm since 8/19/2020

B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
Gilbert, AZ
Registered with this firm since 8/18/2020

Previous Registration(s)
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IA
08/16/2013 - 09/17/2020 J. W. COLE ADVISORS, INC. (CRD#:112294) Mesa, AZ
B
08/02/2013 - 09/17/2020 J.W. COLE FINANCIAL, INC. (CRD#:124583) MESA, AZ
IA
04/09/2009 - 08/06/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MESA, AZ
B
03/27/2009 - 08/06/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MESA, AZ
IA
02/06/2007 - 03/31/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) MESA, AZ
B
02/01/2007 - 03/31/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) MESA, AZ
B
01/08/2002 - 02/01/2007 ATLAS SECURITIES, LLC (CRD#:20991) MESA, AZ
B
02/26/2001 - 01/28/2002 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
02/26/2001 - 01/28/2002 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
10/08/1999 - 08/15/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.