Douglas F. Tarella
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.
Douglas Francis Tarella was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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 2, 2013 - September 2, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 28, 2005 - December 31, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 19, 2003 - December 31, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 24, 2003 - May 2, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 20, 2003 - September 2, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 28, 2002 - January 31, 2003
TRUSTED SECURITIES ADVISORS CORP.
November 11, 1999 - January 31, 2003
TRUSTED SECURITIES ADVISORS CORP.
January 30, 1998 - February 10, 1999
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 6, 1994 - August 1, 1996
VP DISTRIBUTORS LLC
November 4, 1992 - January 19, 1994
THE ADVISORS GROUP, INC.
October 31, 1991 - November 18, 1992
WADDELL & REED
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.
