Stacy H. Mchugh
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.
Stacy Hanlon Mchugh, who also goes by Stacy Kay Hanlon, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 2006. Stacy had worked at 11 firms and has passed the Series 63, Series 65, 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
September 16, 2021 - December 19, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 16, 2021 - December 19, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 3, 2020 - January 25, 2021
GOLDMAN SACHS & CO. LLC
November 1, 2017 - September 3, 2020
CETERA WEALTH SERVICES, LLC
May 15, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
January 31, 2014 - December 9, 2020
UNITED CAPITAL FINANCIAL ADVISORS
March 1, 2013 - May 8, 2013
PURSHE KAPLAN STERLING INVESTMENTS
April 2, 2012 - May 8, 2013
WALDRON PRIVATE WEALTH
February 6, 2012 - March 13, 2013
LPL FINANCIAL LLC
September 21, 2011 - March 5, 2013
LPL FINANCIAL LLC
August 5, 2009 - May 23, 2011
MCKINLEY CARTER WEALTH SERVICES, INC.
December 19, 2006 - June 5, 2009
NETWORTH INVESTMENT ADVISORS, 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
Current 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.
