Patrick J. Barron
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.
Patrick Joseph Barron, AIF®, who also goes by Pat Barron, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 31 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
July 5, 2011 - September 12, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 5, 2011 - September 12, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 20, 2010 - July 5, 2011
COMMONWEALTH FINANCIAL NETWORK
March 30, 2010 - July 5, 2011
COMMONWEALTH FINANCIAL NETWORK
September 8, 2005 - March 30, 2010
GUNNALLEN FINANCIAL, INC
August 3, 2005 - March 30, 2010
GUNNALLEN FINANCIAL, INC
August 1, 2001 - December 17, 2001
CAP PRO BROKERAGE SERVICES, INC.
April 20, 2000 - July 10, 2001
MORGAN STANLEY DW 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 99TO
Date: 1/2/2023
Operations Professional 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.
