Kristina J. Sommerkamp
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.
Kristina Jones Sommerkamp, who also goes by Kristina Jones Bradley, Kristina Jones Marlowe, was a registered financial professional .
Kristina is a previously registered financial professional and started their career in finance in 1989. Kristina had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 2, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - April 23, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 21, 2014 - April 23, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 2, 2006 - February 27, 2014
EQUITABLE ADVISORS, LLC
June 1, 2006 - February 27, 2014
EQUITABLE ADVISORS, LLC
July 26, 1989 - June 5, 2006
VOYA FINANCIAL ADVISORS, INC.
July 20, 1989 - June 5, 2006
VOYA FINANCIAL ADVISORS, 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
Series 2
Date: 12/7/1994
Non-Member General Securities 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
