William J. Painter
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.
William Jacob Painter was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 16, 2012 - March 13, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 16, 2012 - March 13, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 11, 2007 - November 30, 2012
OSAIC FS, INC.
December 1, 2006 - November 30, 2012
OSAIC FS, INC.
January 1, 2004 - December 20, 2006
CETERA ADVISORS LLC
January 1, 2004 - December 20, 2006
CETERA ADVISORS LLC
July 1, 1999 - January 1, 2004
IFG ADVISORY SERVICES INC
January 1, 1996 - January 2, 2004
IFG NETWORK SECURITIES, INC.
October 11, 1988 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
April 9, 1985 - October 14, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
December 21, 1983 - April 15, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
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.
