Steven W. Baack
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.
Steven William Baack, who also goes by Steve William Baack, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 8 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2011 - April 4, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 28, 2011 - April 4, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 5, 2010 - August 4, 2011
SIGNATOR FINANCIAL SERVICES, INC.
October 5, 2010 - August 4, 2011
SIGNATOR FINANCIAL SERVICES, INC.
June 1, 2009 - July 19, 2010
MORGAN STANLEY
June 1, 2009 - July 19, 2010
MORGAN STANLEY
May 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 20, 2007 - May 21, 2008
UBS FINANCIAL SERVICES INC.
November 21, 2006 - May 21, 2008
UBS FINANCIAL SERVICES INC.
May 19, 1988 - February 2, 1989
SMITH-THOMAS INVESTMENT SERVICES, INC.
August 20, 1986 - December 16, 1987
THE SAXON GROUP, 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.
