Rosemary K. Bahgat
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.
Rosemary Kutschke Bahgat, who also goes by Rosemary Kutschke, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1987. Rosemary had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
October 5, 2010 - December 31, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 1, 2010 - December 31, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 21, 2004 - October 13, 2010
SUMMIT FINANCIAL GROUP INC
May 26, 2004 - October 13, 2010
SUMMIT BROKERAGE SERVICES, INC.
December 9, 2003 - May 27, 2004
ROUND HILL SECURITIES, INC.
June 12, 2002 - December 8, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 3, 2001 - December 8, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 17, 1998 - May 8, 2000
PRUCO SECURITIES, LLC.
June 29, 1998 - October 23, 1998
FIRST ALLIED SECURITIES, INC.
January 17, 1990 - February 29, 1996
NYLIFE SECURITIES LLC
March 24, 1988 - March 8, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
January 22, 1988 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 29, 1987 - September 28, 1987
MUTUAL OF OMAHA INVESTOR SERVICES, 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.
