Stephen J. Fleckenstein
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.
Stephen James Fleckenstein was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 9 firms and has passed the Series 66, 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
October 12, 2010 - December 31, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 4, 2010 - December 31, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 7, 2008 - September 24, 2008
CUNA BROKERAGE SERVICES, INC.
October 12, 2007 - September 24, 2008
CUNA BROKERAGE SERVICES, INC.
December 5, 2002 - June 15, 2006
PFS INVESTMENTS INC.
December 9, 1999 - March 9, 2001
OLD KENT FINANCIAL ADVISORS
September 21, 1998 - September 8, 1999
NATCITY INVESTMENTS, INC.
October 7, 1994 - September 21, 1998
FIRST OF AMERICA SECURITIES, INC.
July 23, 1992 - October 10, 1994
NATCITY INSURANCE SERVICES, INC.
January 8, 1991 - July 24, 1992
PFS INVESTMENTS INC.
February 26, 1987 - January 10, 1989
AMERIPRISE FINANCIAL SERVICES, 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.
