Shree N. Sharma
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.
Shree Narayan Sharma, who also goes by Shree N Sharma, Shree Narayam Sharma, Steve Sharma, was a registered financial professional .
Shree is a previously registered financial professional and started their career in finance in 1982. Shree had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2006 - December 31, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 13, 2006 - December 31, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 6, 2006 - July 18, 2006
NATIONS FINANCIAL GROUP, INC.
March 2, 1998 - June 26, 2006
RBC CAPITAL MARKETS, LLC
April 8, 1996 - June 26, 2006
RBC CAPITAL MARKETS, LLC
April 4, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 31, 1993 - April 26, 1994
CITIGROUP GLOBAL MARKETS INC.
March 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 17, 1985 - February 17, 1988
CITIGROUP GLOBAL MARKETS INC.
December 21, 1982 - September 29, 1983
S.N.I. SECURITIES, INC.
December 21, 1982 - January 3, 1985
PRUDENTIAL EQUITY GROUP, 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
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.
