Neil M. Cubberley
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.
Neil Macdonald Cubberley was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1971. Neil had worked at 15 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2016 - March 19, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 18, 2016 - March 19, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 9, 2008 - March 11, 2016
QUESTAR ASSET MANAGEMENT, INC.
August 18, 1997 - March 11, 2016
QUESTAR CAPITAL CORPORATION
June 16, 1994 - August 4, 1997
MARINER FINANCIAL SERVICES, INC.
October 12, 1989 - June 16, 1994
SECURITIES AMERICA, INC.
January 21, 1987 - October 17, 1989
SENTRY EQUITY SERVICES, INC.
April 24, 1986 - May 12, 1986
PRINCIPAL SECURITIES, INC.
May 1, 1979 - December 16, 1985
USLIFE EQUITY SALES CORP.
May 28, 1978 - October 21, 1983
AMERICAN WESTERN SECURITIES, INC.
October 13, 1977 - May 28, 1978
PITTMAN & COMPANY, INCORPORATED
July 6, 1977 - May 1, 1979
USLIFE EQUITY SALES CORP
December 3, 1976 - February 26, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 26, 1972 - September 22, 1977
TIME EQUITIES, INC.
June 4, 1971 - September 13, 1972
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 4, 1971 - September 13, 1972
OSAIC FA, 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 1
Date: 5/27/1971
Registered 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.
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