Robert D. Cullum
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.
Robert David Cullum, who also goes by David Cullum, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2011 - March 21, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 28, 2011 - March 21, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 8, 2003 - January 28, 2011
WFG ADVISORS, LP
December 9, 2002 - November 14, 2006
WFG INVESTMENTS, INC.
December 9, 2002 - January 28, 2011
WFG INVESTMENTS, INC.
May 4, 2001 - December 3, 2002
STANFORD GROUP COMPANY
May 5, 1999 - May 23, 2001
ROBERT W. BAIRD & CO. INCORPORATED
September 3, 1998 - May 24, 1999
DOMINION INVESTOR SERVICES, INC.
March 12, 1991 - September 8, 1998
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
Series 99TO
Date: 1/2/2023
Operations Professional 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.
