Joel P. Levi
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.
Joel Philip Levi was a registered financial advisor .
Joel is a previously registered financial advisor and started their career in finance in 1969. Joel had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2010 - December 31, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 17, 2009 - December 31, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 1, 2004 - October 15, 2009
CETERA ADVISORS LLC
November 2, 1992 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 1, 1992 - December 1, 1992
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 24, 1984 - March 1, 1989
INVESTORS BROKERAGE SERVICES, INC.
March 4, 1983 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 13, 1981 - October 20, 1992
MUTUAL SERVICE CORPORATION
December 12, 1979 - July 9, 1981
ALL AMERICAN MANAGEMENT CORPORATION
March 10, 1978 - October 20, 1992
MUTUAL SERVICE CORPORATION
October 3, 1969 - August 30, 1977
MULTIVEST SECURITIES, 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
Series 1
Date: 11/21/1968
Registered Representative 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.
