Nicholas P. Callahan
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.
Nicholas Patrick Callahan, who also goes by Nick Callahan, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1990. Nicholas had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2013 - September 13, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 5, 2013 - September 13, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 2, 2009 - February 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2009 - February 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - September 3, 2009
MORGAN STANLEY
June 1, 2009 - September 3, 2009
MORGAN STANLEY
July 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2003 - July 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 21, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 22, 1994 - November 27, 2001
CITIGROUP GLOBAL MARKETS INC.
April 24, 1990 - September 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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