Gretchen Tamplin
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.
Gretchen Tamplin, who also goes by Gretchen Knaup, Gretchen Phillips, was a registered financial professional .
Gretchen is a previously registered financial professional and started their career in finance in 2003. Gretchen had worked at 12 firms and has passed the Series 66, Series 7TO, 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
July 24, 2024 - August 1, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 22, 2019 - June 12, 2020
LPL FINANCIAL LLC
January 18, 2019 - June 12, 2020
LPL FINANCIAL LLC
October 16, 2017 - December 19, 2018
FIRST COMMAND ADVISORY SERVICES
October 16, 2017 - December 19, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
April 5, 2017 - September 25, 2017
THE HUNTINGTON INVESTMENT COMPANY
December 5, 2016 - March 21, 2017
PNC WEALTH MANAGEMENT LLC
December 1, 2016 - March 21, 2017
PNC WEALTH MANAGEMENT LLC
August 7, 2012 - November 23, 2016
UBS FINANCIAL SERVICES INC.
August 3, 2012 - November 23, 2016
UBS FINANCIAL SERVICES INC.
October 6, 2011 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2011 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2010 - September 21, 2011
AVANTAX ADVISORY SERVICES
February 1, 2010 - September 21, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 17, 2009 - January 15, 2010
UBS FINANCIAL SERVICES INC.
February 13, 2009 - January 15, 2010
UBS FINANCIAL SERVICES INC.
May 30, 2007 - March 10, 2009
CITIGROUP GLOBAL MARKETS INC.
April 6, 2007 - March 10, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 2003 - November 4, 2003
KEYBANC CAPITAL MARKETS INC.
March 28, 2003 - November 4, 2003
KEYBANC CAPITAL MARKETS INC.
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: 6/8/2024
General Securities Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
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.
