Alfred W. Stites
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.
Alfred Wyant Stites, who also goes by Alfred Wyant Stites II, Alfred Wyant Stites Jr, Chip Stites, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1986. Alfred had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 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 - December 8, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 4, 2016 - December 8, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 1, 2010 - January 4, 2016
WFG ADVISORS, LP
April 1, 2010 - January 4, 2016
WFG INVESTMENTS, INC.
September 22, 1998 - April 6, 2010
CETERA WEALTH SERVICES, LLC
April 13, 1998 - April 6, 2010
CETERA WEALTH SERVICES, LLC
April 29, 1997 - April 24, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 5, 1987 - November 13, 1996
NEW ENGLAND SECURITIES
May 21, 1986 - March 5, 1987
HORNOR, TOWNSEND & KENT, 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.
