Paul B. Missett
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.
Paul Burke Missett Sr, who also goes by Paul Burke Missett, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1975. Paul had worked at 9 firms and has passed the Series 63, SIE 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
Experience
May 1, 2013 - December 17, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 1, 2013 - August 23, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 16, 2007 - May 13, 2013
LPL FINANCIAL LLC
November 15, 2001 - August 17, 2007
CINCINNATI ANALYSTS, INC.
October 1, 1997 - November 14, 2001
MUTUAL SERVICE CORPORATION
October 1, 1996 - November 3, 1997
OSAIC FA, INC.
October 29, 1992 - October 1, 1996
UNUM SALES CORPORATION
October 20, 1980 - October 14, 1997
EQUITABLE ADVISORS, LLC
September 17, 1975 - October 14, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 9/8/1975
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.
