Nadia T. Cavner
Professional summary
Nadia Treza Cavner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nadia is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Nadia had worked at 7 firms, which includes CAMBRIDGE INVESTMENT RESEARCH INC., U.S. BANCORP INVESTMENTS INC., FIRSTAR INVESTMENT SERVICESINC., MERCANTILE INVESTMENT SERVICES INC., GUARANTY BROKERAGE SERVICES INC., WALL STREET ACCESS, GRIFFIN FINANCIAL SERVICES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2005 - January 31, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 1, 2001 - September 8, 2005
U.S. BANCORP INVESTMENTS, INC.
January 3, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
July 1, 1997 - January 3, 2000
MERCANTILE INVESTMENT SERVICES, INC.
September 1, 1995 - July 1, 1997
GUARANTY BROKERAGE SERVICES, INC.
November 9, 1993 - September 6, 1995
WALL STREET ACCESS
December 7, 1992 - November 9, 1993
GRIFFIN FINANCIAL SERVICES
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, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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