Raymond L. Cook
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.
Raymond Lee Cook, who also goes by Ray Cook, Raymond L Cook, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1977. Raymond had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2005 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 27, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 11, 2003 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 28, 2001 - February 14, 2003
VERAVEST INVESTMENTS, INC.
June 7, 1993 - June 19, 2001
WS GRIFFITH SECURITIES, INC.
May 7, 1990 - June 7, 1993
VP DISTRIBUTORS LLC
November 11, 1987 - March 13, 1990
FIDELITY EQUITY SERVICES CORPORATION
June 1, 1977 - October 12, 1987
SIGNATOR INVESTORS, INC.
June 1, 1977 - November 4, 1987
JOHN HANCOCK MUTUAL LIFE INSURANCE 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: 5/23/1977
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.
