Joseph A. Gazarek
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.
Joseph Allen Gazarek was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 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
March 28, 2005 - January 14, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 1, 1999 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 22, 1999 - January 14, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 6, 1995 - March 2, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 6, 1995 - March 2, 1999
OSAIC FA, INC.
April 4, 1995 - October 5, 1995
MOMENTUM INDEPENDENT NETWORK INC.
October 5, 1994 - March 2, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 5, 1994 - March 2, 1999
OSAIC FA, INC.
June 19, 1991 - April 7, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 19, 1991 - April 7, 1995
OSAIC FA, INC.
June 3, 1988 - June 13, 1991
MUTUAL OF OMAHA INVESTOR 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.
