Kevin J. Cusack
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.
Kevin James Cusack was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 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, 2016 - March 22, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 15, 2015 - March 22, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 20, 2012 - December 10, 2015
TRICOR ADVISORY SERVICES, LLC
April 23, 2007 - December 10, 2015
TRICOR FINANCIAL, LLC
May 14, 2003 - June 20, 2007
INVEST FINANCIAL CORPORATION
May 14, 2003 - June 20, 2007
INVEST FINANCIAL CORPORATION
August 6, 2001 - May 15, 2003
COMMONWEALTH FINANCIAL NETWORK
July 31, 2001 - May 15, 2003
COMMONWEALTH FINANCIAL NETWORK
July 12, 1999 - August 7, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 7, 1995 - July 12, 1999
BA INVESTMENT SERVICES, INC.
July 15, 1994 - September 25, 1995
AEGON USA SECURITIES INC.
May 21, 1990 - December 10, 1990
THE INVESTMENT CENTER, INC.
September 2, 1988 - March 14, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 2, 1987 - June 3, 1988
LEHMAN BROTHERS INC.
March 1, 1983 - September 16, 1987
WAMU INVESTMENTS, 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
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.
