Aubrey L. Stowell
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.
Aubrey Lionel Stowell III, who also goes by Aubrey Lionel Stowell, was a registered financial professional .
Aubrey is a previously registered financial professional and started their career in finance in 1986. Aubrey had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1, Series 24, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2015 - February 18, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 1, 2015 - February 18, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 19, 1996 - April 10, 1997
FIRST CLEARING, LLC
August 18, 1994 - August 21, 1996
MERIDIAN SECURITIES, INC.
June 11, 1990 - August 18, 1994
MARCUS, STOWELL & BEYE, INC.
June 11, 1990 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
March 16, 1990 - June 29, 1990
LEHMAN BROTHERS INC.
March 2, 1988 - February 6, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
October 22, 1986 - March 4, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 2/12/1972
Registered Representative ExaminationSeries 8
Date: 7/6/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 7/23/1976
Registered Principal 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.
