Joyce L. Hinds
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.
Joyce Lynn Hinds Mrs, who also goes by Joyce Lynn Gingrich, Joyce Lynn Gordon Ms, J.lynn Hinds, Joyce Lynn Hinds, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1988. Joyce had worked at 5 firms and has passed the Series 65, Series 63, Series 22TO, SIE, 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 1, 2020 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 1, 2020 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 1, 2019 - June 19, 2020
PURSHE KAPLAN STERLING INVESTMENTS
January 28, 2009 - July 5, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 19, 2001 - January 26, 2021
LIGHTHOUSE FINANCIAL LLC
January 8, 1993 - January 28, 2009
CETERA WEALTH SERVICES, LLC
December 20, 1988 - January 28, 2009
CETERA WEALTH 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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent 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.
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