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JF

John S. Fay

Some features on this profile are disabled
CRD#: 1764160
JF

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.

John Simmons Fay JR was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 15, 2009 - August 30, 2024

CAMBRIDGE INTERNATIONAL SECURITIES, LLC

BD
CRD#: 39137
WESTPORT, CT
Past

November 25, 1987 - October 30, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination

Current Firm

CI
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
CAMBRIDGE INTERNATIONAL SECURITIES, INC. | CAMBRIDGE INTERNATIONAL SECURITIES, LLC

CRD#: 39137 / SEC#: , 8-48552

BD
Terminated by SEC on 08/31/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 10/17/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAMBRIDGE INTERNATIONAL SECURITIES, INCOWNER
NEVSTAD, HENRY JOHANCEO6667320
WEBER, KATHARINE DIANATREASURER1509042
WEBER, WILLIAMPRESIDENT,COO, CCO1080444

Disclosures

Regulatory Event2

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.

Company Information

CAMBRIDGE INTERNATIONAL SECURITIES, LLC

CRD#: 39137

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