Loretta J. Stratis
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.
Loretta Jane Stratis, CFP®, who also goes by Loretta J Fuller, Loretta Jane Statis, Loretta J Terrill, Aka Weber, Loretta Jane Weber, was a registered financial professional .
Loretta is a previously registered financial professional and started their career in finance in 1980. Loretta had worked at 8 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
September 23, 2019 - December 5, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 23, 2019 - December 5, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 3, 2003 - September 24, 2019
GROVE POINT INVESTMENTS, LLC
January 31, 2003 - September 24, 2019
GROVE POINT INVESTMENTS, LLC
July 11, 1989 - January 31, 2003
WRP INVESTMENTS, INC.
January 11, 1989 - July 25, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 13, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 13, 1980 - January 19, 1989
IDS LIFE INSURANCE COMPANY
March 13, 1980 - January 19, 1989
AMERIPRISE FINANCIAL SERVICES, 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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 3/3/1980
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
