Jaclyn L. Ramaley
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.
Jaclyn Lee Ramaley, who also goes by Jackie Ramaley, Jaclyn Ramaley Shigeta, Jaclyn Ramaley Walker, was a registered financial professional .
Jaclyn is a previously registered financial professional and started their career in finance in 1983. Jaclyn had worked at 11 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, 2013 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 31, 2013 - January 25, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 2, 2012 - August 7, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
May 19, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
May 19, 2008 - August 5, 2013
FIRST ALLIED SECURITIES, INC.
February 8, 2000 - May 19, 2008
CETERA ADVISORS LLC
January 3, 2000 - May 19, 2008
CETERA ADVISORS LLC
August 14, 1997 - December 31, 1999
PRINCIPAL SECURITIES, INC.
March 1, 1996 - August 14, 1997
MML INVESTORS SERVICES, LLC
August 2, 1993 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
May 14, 1985 - March 1, 1996
G. R. PHELPS & CO., INC.
August 8, 1984 - June 4, 1985
SWARTWOOD, HESSE INC.
April 20, 1983 - August 6, 1984
WALFORD, DEMARET & CO., 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.
