SL
Stoney J. Lee
CAMBRIDGE INVESTMENT RESEARCH
Fullerton, CA 92831
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CRD#: 3277538
SL
Professional summary
Stoney Jay Lee is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fullerton, California.
Stoney is registered as a RR (Registered Representative) and started their career in finance in 2000. Stoney has worked at 8 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stoney Jay Lee's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 20, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1561 E Orangethorpe Ave. Suite 215, Fullerton, CA 92831BD
CRD#: 39543
Fullerton, CA
Past
May 8, 2008 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
FULLERTON, CA
Past
August 20, 2007 - December 13, 2007
REGAL SECURITIES, INC.
BD
CRD#: 7297
GLENVIEW, IL
Past
October 11, 2005 - May 9, 2008
SCF SECURITIES, INC.
BD
CRD#: 47275
FULLERTON, CA
Past
April 23, 2004 - May 10, 2005
LIBERTY GROUP, LLC
BD
CRD#: 106036
OAKLAND, CA
Past
August 29, 2001 - October 15, 2003
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
April 10, 2000 - January 16, 2001
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Past
January 2, 2000 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
BD
CRD#: 21895
SAN CLEMENTE, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/19/2019)
RR
California(10/20/2018)
RR
Colorado(5/7/2025)
RR
Florida(10/21/2022)
RR
Hawaii(12/5/2022)
RR
Idaho(5/3/2019)
RR
Indiana(11/16/2022)
RR
Kansas(5/22/2025)
RR
Maryland(4/25/2025)
RR
Michigan(4/22/2024)
RR
Missouri(10/20/2018)
RR
Nevada(10/17/2019)
RR
Texas(10/16/2019)
RR
Washington(10/20/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/25/2000
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
