Stephen L. Przewlocki
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.
Stephen L Przewlocki, who also goes by Stephen L Przewlicki, Stephen Lester Przewlocki, Steve L Przewlocki, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24 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 29, 2006 - July 8, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 7, 2004 - December 31, 2006
CAMBRIDGE RETIREMENT ADVISORS
March 29, 2004 - July 8, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 19, 2003 - March 26, 2004
LEGEND ADVISORY, LLC
January 1, 1994 - March 26, 2004
LEGEND EQUITIES CORPORATION
March 28, 1990 - January 1, 1994
LEGEND CAPITAL CORPORATION
October 21, 1988 - April 25, 1990
EMPOWER FINANCIAL SERVICES, INC.
March 22, 1978 - October 6, 1988
CITISTREET EQUITIES 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 1
Date: 3/11/1978
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.
