Denise J. Schram
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.
Denise Joyce Schram, who also goes by Denise J. Schram, Denise Schram, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2008. Denise had worked at 6 firms and has passed the Series 65, Series 63, 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 9, 2016 - April 25, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 9, 2016 - April 25, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 15, 2016 - May 18, 2016
BNY MELLON SECURITIES CORPORATION
September 6, 2012 - November 27, 2015
PNC WEALTH MANAGEMENT LLC
April 14, 2010 - November 27, 2015
PNC WEALTH MANAGEMENT LLC
July 21, 2009 - March 31, 2010
SYNERGY INVESTMENT GROUP, LLC
May 5, 2008 - July 7, 2009
NYLIFE SECURITIES LLC
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.
