Lee Nelson Schmertzler

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2022-10-04

MA RA
APPROVED

Since 2022-10-04

Branch Locations

Wayland, MA • United States

12 Pond Lane, Suite Eb S-2, Concord, MA 01742 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
M Holdings Securities, Inc.	Needham	MA	11/2016	05/2018
Pinnacle Pension Consultants Llc	Needham	MA	11/2016	09/2022
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	09/2022	Present

11/2016 → 05/2018

M Holdings Securities, Inc.

Needham, MA
11/2016 → 09/2022

Pinnacle Pension Consultants Llc

Needham, MA
09/2022 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2017-11-07 → 2022-09-21

Pinnacle Pension Consultants Llc

Needham, MA

Other Businesses

1) AEGIS RETIREMENT PARTNERS, 86 BAKER AVENUE EXT, SUITE 309, CONCORD MA 01742, 03/2024, INVESTMENT ADVISOR REPRESENTATIVE, INV REL, 160 HR/MO - 120 HR/MO TRADING. 2) LEE SCHMERTZLER, 86 BAKER AVENUE EXT, SUITE 309, CONCORD MA 01742, 03/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 0 HR/MO - 0 HR/MO TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-09-07
S63	Uniform Securities Agent State Law Examination	1999-03-20

S65 Uniform Investment Adviser Law Examination

2017-09-07
S63 Uniform Securities Agent State Law Examination

1999-03-20

View on SEC IAPD