Joseph E. Stephens
Professional summary
Joseph E Stephens II, CFP®, who also goes by Joseph Eugene Stephens II, Joseph E Stephens Ii, Joseph E Stephens, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Spring Lake Heights, New Jersey.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph E Stephens II's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2022
Experience
November 3, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 419 State Route 71, Spring Lake Heights, NJ 07762March 1, 2021 - November 3, 2025
ALLSTATE FINANCIAL ADVISORS, LLC
February 26, 2021 - November 3, 2025
ALLSTATE FINANCIAL SERVICES, LLC
September 24, 2018 - December 31, 2019
IC ADVISORY SERVICES, INC.
September 17, 2018 - December 31, 2019
THE INVESTMENT CENTER, INC.
November 17, 2017 - September 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2017 - September 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2007 - March 20, 2007
CITIGROUP GLOBAL 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
(11/3/2025)
(11/3/2025)
(11/3/2025)
(11/3/2025)
Exams
FINRA
Current 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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543Spring Lake Heights, NJ 07762TRUST BUT VERIFY
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