Steven L. Boggs
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 Leonard Boggs was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2020 - January 7, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 16, 2020 - August 8, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 1, 2013 - July 17, 2020
MUTUAL ADVISORS, LLC
November 24, 2008 - July 9, 2013
MUTUAL SECURITIES, INC.
November 21, 2008 - July 17, 2020
MUTUAL SECURITIES, INC.
February 26, 2004 - December 16, 2008
FIRST MONTAUK SECURITIES CORP.
March 28, 2002 - December 16, 2008
FIRST MONTAUK SECURITIES CORP.
March 9, 2002 - April 15, 2002
RBC CAPITAL MARKETS, LLC
July 31, 1992 - March 9, 2002
SUTRO & CO. INCORPORATED
September 4, 1990 - August 3, 1992
WELLS FARGO CLEARING SERVICES, LLC
March 9, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 17, 1988 - March 15, 1990
FIRST IMPERIAL INVESTOR SERVICES, INC.
March 12, 1987 - March 22, 1988
PLANMEMBER SECURITIES CORPORATION
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
Series 8
Date: 4/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
