Terry R. Fisk
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.
Terry R Fisk, who also goes by Terry Russell Fisk, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1992. Terry had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 9, 2018 - May 23, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 5, 2018 - May 23, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 19, 2016 - February 6, 2017
TRUIST ADVISORY SERVICES, INC.
November 9, 2006 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 2, 2006 - February 6, 2017
TRUIST INVESTMENT SERVICES, INC.
October 12, 2005 - September 27, 2006
ALLSTATE FINANCIAL SERVICES, LLC
February 3, 2000 - January 13, 2005
OSAIC WEALTH, INC.
September 3, 1996 - February 4, 2000
MM ASCEND LIFE INVESTOR SERVICES, LLC
December 1, 1995 - July 22, 1996
INVEST FINANCIAL CORPORATION
April 5, 1995 - November 17, 1995
BANK SOUTH INVESTMENT SERVICES, INC.
January 28, 1993 - April 10, 1995
CAPITAL BROKERAGE CORPORATION
January 8, 1992 - February 9, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 8, 1992 - February 9, 1993
SIGNATOR INVESTORS, 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
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.
