Catherine S. Brooks
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.
Catherine Susan Brooks, who also goes by Cathy Brooks, Catherine Susan Pellicane, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1986. Catherine 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
March 12, 2009 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 20, 2009 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 14, 2003 - January 22, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 30, 2002 - January 22, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 30, 1996 - August 1, 2002
MORGAN STANLEY DW INC.
August 30, 1996 - August 1, 2002
MORGAN STANLEY DW INC.
December 4, 1991 - September 6, 1996
FNB BROKERAGE SERVICES, INC.
May 20, 1991 - October 14, 1991
MORGAN STANLEY DW INC.
June 6, 1988 - May 21, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 6, 1988 - May 20, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1988 - March 5, 1988
LEHMAN BROTHERS INC.
June 24, 1986 - February 15, 1988
E. F. HUTTON & COMPANY 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.
