John P. Mccloud
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.
John Paul Mccloud was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 7 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 4, 2010 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 1, 1998 - December 31, 2009
CETERA WEALTH SERVICES, LLC
March 27, 1996 - December 31, 2009
CETERA WEALTH SERVICES, LLC
March 1, 1996 - March 27, 1996
MML INVESTORS SERVICES, LLC
May 9, 1986 - March 1, 1996
G. R. PHELPS & CO., INC.
July 22, 1982 - June 11, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
July 22, 1982 - June 12, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
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 62
Date: 11/1/1990
Corporate Securities Limited Representative ExaminationCurrent 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
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