Vicki S. Andrews
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.
Vicki Shannon Andrews, who also goes by Shannon Andrews, V Shannon Andrews, VIcki Shannon Phillips, Vicki Shannon Rudd, Vicki Shannon, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1992. Vicki had worked at 11 firms and has passed the Series 66, Series 63, Series 7 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
June 28, 2011 - June 8, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 21, 2011 - June 8, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 25, 2007 - August 19, 2011
STRONGTOWER FINANCIAL, INC.
November 15, 2005 - July 19, 2007
TRANSAMERICA CAPITAL, LLC
March 29, 2004 - October 26, 2005
STRONGTOWER FINANCIAL, INC.
June 26, 2002 - March 16, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 3, 1997 - February 26, 2002
U.S. BANCORP INVESTMENTS, INC.
March 27, 1997 - September 3, 1997
U.S. BANCORP SECURITIES
April 19, 1995 - March 18, 1997
MARKETING ONE SECURITIES, INC.
February 1, 1994 - February 24, 1995
IDS LIFE INSURANCE COMPANY
February 1, 1994 - February 24, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 1992 - December 22, 1993
UBS FINANCIAL 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.
