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Detailed Report
LEE ERIC LEVY
CRD#: 2612050
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 Alamo, CA
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 312 Massoni Court
Ste 101
Alamo, CA 94507
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - Present (3 years)BBANCBOSTON ROBERTSON STEPHENS INC. (CRD# 41271)1998 - 1999 (<1 year)BPIPER JAFFRAY INC. (CRD# 665)1995 - 1998 (2 years)IACANID ASSET MANAGEMENT (CRD# 148998)2009 - 2016 (7 years)
License(s)

State Registrations

B
Arizona 10/17/2024
B
New Hampshire 10/18/2021
B
California 10/18/2021
B
New York 10/18/2021
IA
California 10/18/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
Alamo, CA
Registered with this firm since 10/18/2021
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
312 Massoni Court Ste 101, Alamo, CA 94507
Registered with this firm since 10/18/2021
Previous Registration(s)
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IA
 08/30/2019 - 10/28/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WALNUT CREEK, CA
B
 08/30/2019 - 10/28/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WALNUT CREEK, CA
IA
 06/02/2016 - 09/03/2019 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
B
 05/24/2016 - 09/03/2019 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
IA
 03/10/2009 - 06/30/2016 CANID ASSET MANAGEMENT (CRD#:148998) PALO ALTO, CA
B
 09/29/1998 - 07/28/1999 BANCBOSTON ROBERTSON STEPHENS INC. (CRD#:41271) SAN FRANCISCO, CA
B
 10/03/1995 - 09/18/1998 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.