Frank M. Schwartz
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.
Frank Maycumber Schwartz was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2016 - December 31, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 14, 2016 - December 31, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 8, 1997 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
January 14, 1994 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
May 9, 1988 - December 31, 1993
FOOTHILL SECURITIES, INC.
August 3, 1981 - March 30, 1988
JUDY & ROBINSON SECURITIES, INC
July 13, 1978 - August 5, 1981
AMERICAN INVESTORS COMPANY
January 27, 1976 - August 10, 1978
EQUITEC SECURITIES COMPANY
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: 1/22/1976
Registered Representative ExaminationSeries 40
Date: 2/10/1977
Registered Principal 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.
