Robert A. Swartz
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 Aaron Swartz, who also goes by Rob Swartz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 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
March 4, 2010 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 23, 2006 - December 31, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 19, 2006 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 3, 2005 - May 26, 2006
FIFTH THIRD SECURITIES, INC.
January 15, 2003 - May 26, 2006
FIFTH THIRD SECURITIES, INC.
March 20, 2002 - January 13, 2003
BANC ONE SECURITIES CORPORATION
December 18, 2001 - January 13, 2003
BANC ONE SECURITIES CORPORATION
February 17, 2000 - November 16, 2001
BROOKSTREET SECURITIES CORPORATION
February 14, 2000 - February 29, 2000
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
April 5, 1999 - February 15, 2000
SECURITIES AMERICA, INC.
October 17, 1997 - April 14, 1999
LPL FINANCIAL LLC
August 13, 1996 - September 25, 1997
IDS LIFE INSURANCE COMPANY
August 13, 1996 - September 25, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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.
