John SchlegelCRD Number: 1985811
Current Firm: Cambridge Investment Research Advisors, Inc.
John Schlegel (CRD# 1985811) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Wyomissing, PA and has over 25 years of experience in the finance industry.
Clothier Springs Capital Management, LLC
Triad Advisors, Inc.
Kaufman Advisory Services, Inc.
|Cambridge Investment Research, Inc.||Fairfield, IA||Aug 2009 - Current||8|
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||Aug 2009 - Current||8|
|Mutual Service Corporation||Wyomissing, PA||Apr 2007 - Aug 2009||2|
|National Planning Corporation||Wyomissing, PA||Oct 2005 - Apr 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1992|
|S66||NASAA Uniform Combined State Law Examination||Jul 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management25,187MILLIONS
Total Number of Accounts152,412ACCOUNTS
Average Account Value$165,257
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV