Jerome L. Blum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jerome Leonard Blum, who also goes by Jermone Leonard Blum, Jerry Blum, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1981. Jerome had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2011 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 21, 2010 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 10, 2009 - July 28, 2010
BEECH HILL SECURITIES, INC.
April 30, 2007 - December 31, 2008
UBS FINANCIAL SERVICES INC.
January 5, 2001 - December 31, 2008
UBS FINANCIAL SERVICES INC.
June 5, 1995 - January 11, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1982 - June 9, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1981 - July 15, 1982
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
