Kirk C. Swartzbaugh
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.
Kirk Criley Swartzbaugh, CLU® was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 2001. Kirk had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2019 - June 12, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 31, 2019 - June 12, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 3, 2016 - May 28, 2019
BANCWEST INVESTMENT SERVICES, INC.
March 3, 2016 - May 28, 2019
BANCWEST INVESTMENT SERVICES, INC.
July 20, 2007 - February 29, 2016
M HOLDINGS SECURITIES, INC.
August 15, 2001 - February 29, 2016
M HOLDINGS 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 7TO
Date: 12/3/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/3/2022
Investment Company Products/Variable Contracts 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.
