Rene G. Ledoux
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.
Rene Gerard Ledoux, who also goes by Pete Ledoux, Rene Ledoux, was a registered financial professional .
Rene is a previously registered financial professional and started their career in finance in 1987. Rene had worked at 12 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
December 8, 2014 - May 12, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 20, 2014 - May 12, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 10, 2009 - April 15, 2013
CADARET, GRANT & CO., INC.
July 27, 2009 - April 15, 2013
CADARET, GRANT & CO., INC.
April 16, 2008 - July 6, 2009
OSAIC INSTITUTIONS, INC.
April 16, 2008 - July 6, 2009
OSAIC INSTITUTIONS, INC.
June 8, 2007 - March 24, 2008
NEWALLIANCE INVESTMENTS, INC.
May 18, 2007 - March 24, 2008
CONNECTICUT INVESTMENT MANAGEMENT
March 3, 2006 - March 30, 2007
OSAIC INSTITUTIONS, INC.
March 2, 2006 - March 30, 2007
OSAIC INSTITUTIONS, INC.
November 25, 2003 - February 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2003 - February 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2003 - December 4, 2003
CADARET, GRANT & CO., INC.
January 2, 1992 - April 2, 2003
WALL STREET ACCESS
April 30, 1991 - December 31, 1991
INTESA SANPAOLO IMI SECURITIES CORP.
August 6, 1990 - April 30, 1991
MABON, NUGENT & CO.
October 19, 1987 - July 17, 1989
NEIE DISCOUNT BROKERAGE SERVICES
January 1, 1987 - September 18, 1987
SBS DISCOUNT BROKERAGE
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.
