Robert W. Mann
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.
Robert Whitehair Mann, who also goes by Rob Mann, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 9 firms and has passed the 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
March 16, 2022 - December 2, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 16, 2022 - December 2, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 24, 2015 - March 15, 2022
OSAIC FS, INC.
December 24, 2015 - March 15, 2022
OSAIC FS, INC.
July 24, 2012 - December 28, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
July 23, 2012 - December 28, 2015
CAPITAL GUARDIAN, LLC
March 15, 2012 - July 24, 2012
WOODBURY FINANCIAL SERVICES, INC.
August 25, 2009 - July 24, 2012
WOODBURY FINANCIAL SERVICES, INC.
June 1, 2005 - August 28, 2009
EQUITABLE ADVISORS, LLC
October 5, 1981 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 5, 1981 - June 1, 2005
MONY SECURITIES CORPORATION
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.
