Brad E. Fahrenkamp
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.
Brad Erin Fahrenkamp was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1999. Brad had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2014 - July 24, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 21, 2014 - July 24, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 2, 2008 - March 3, 2014
KEY INVESTMENT SERVICES LLC
October 1, 2008 - March 3, 2014
KEY INVESTMENT SERVICES LLC
November 22, 2004 - September 9, 2008
FIFTH THIRD SECURITIES, INC.
February 25, 2002 - September 9, 2008
FIFTH THIRD SECURITIES, INC.
March 21, 2001 - February 13, 2002
FIDELITY BROKERAGE SERVICES LLC
December 7, 1999 - March 5, 2001
IDS LIFE INSURANCE COMPANY
December 7, 1999 - March 5, 2001
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.
