Seth R. Savoy
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.
Seth Roger Savoy was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1989. Seth had worked at 15 firms and has passed the Series 65, Series 63, 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
January 27, 2017 - February 23, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 12, 2014 - February 9, 2015
LPL FINANCIAL LLC
January 10, 2014 - September 12, 2014
FINANCIAL TELESIS INC
July 30, 2012 - December 20, 2013
KESTRA INVESTMENT SERVICES, LLC
April 8, 2004 - July 17, 2012
THE O.N. EQUITY SALES COMPANY
March 3, 2003 - April 2, 2004
USI SECURITIES, INC.
March 3, 2003 - April 2, 2004
USI SECURITIES, INC.
December 12, 2002 - February 26, 2003
METROPOLITAN LIFE INSURANCE COMPANY
December 12, 2002 - February 26, 2003
MSI FINANCIAL SERVICES, INC.
March 8, 2000 - January 2, 2003
EQUITABLE ADVISORS, LLC
March 20, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 20, 1996 - January 2, 2003
EQUITABLE ADVISORS, LLC
September 6, 1995 - March 6, 1996
CENTAURUS FINANCIAL, INC.
February 6, 1995 - September 1, 1995
NORTH AMERICAN MANAGEMENT, INC.
August 22, 1994 - December 9, 1994
H.J. MEYERS & CO., INC.
February 28, 1989 - March 19, 1990
IDS LIFE INSURANCE COMPANY
February 28, 1989 - March 19, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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