Role at Cambridge Investment Research Advisors
- Title on Schedule A
- Chief Compliance Officer
- Control
- Stephen Youhn is not a control person of Cambridge Investment Research Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Stephen Youhn has held the filed role since August 2022.
The firm
Form ADV filed 11 September 2026
Career on record
Stephen Youhn has been registered through Cambridge Investment Research Advisors since August 2022, and before that through Concourse Financial Group Advisors.
- Passed Series 14, Series 52TO and Series 53 · 2023
- – present · 4 years, · Adviser representative · Firm CRD 134139
- Concourse Financial Group Advisors– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 15708
- Passed SIE · 2018
- Passed Series 63 · 2012
- Passed Series 24 · 2005
- Passed Series 7 · 1985
Registrations and exams
Stephen Youhn has a current investment-adviser registration in Iowa and Texas and has passed 7 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Iowa | Investment adviser representative | Approved | 2 August 2022 |
| Texas | Investment adviser representative | Approved, resident | 24 May 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 9 February 2012 |
| Series 53 | Municipal Securities Principal Examination | 17 June 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 2 June 2005 |
| Series 52TO | Municipal Securities Representative Examination | 7 June 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 19 October 1985 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Stephen Michael Youhn
- CRD
- 1414691
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Stephen Youhn work?
Stephen Youhn has been Chief Compliance Officer of Cambridge Investment Research Advisors, Inc. since August 2022.
Is Stephen Youhn a financial advisor?
Yes. Stephen Youhn has a current investment-adviser registration in Iowa and Texas, through Cambridge Investment Research Advisors since August 2022, as of 17 October 2026.
How many years of experience does Stephen Youhn have?
Stephen Youhn has worked in the financial industry for 19 years as of 17 October 2026, counted from 13 February 2007, across 2 adviser firms.
What exams has Stephen Youhn passed?
Stephen Youhn has passed 7 licensing exams: the Series 7, Series 24, Series 63, SIE, Series 14, Series 52TO and Series 53. The earliest, the Series 7, was passed in October 1985.
Where did Stephen Youhn work before Cambridge Investment Research Advisors?
Before Cambridge Investment Research Advisors, Stephen Youhn was registered through Concourse Financial Group Advisors, August 2019 to October 2021.
Leadership at Cambridge Investment Research Advisors
- Amy WebberChief Executive Officer, Secretary, Director
- Colleen BellPresident, Innovation and Experience, Director
- Richard KuhlmanSenior Vice President, Chief Legal Officer
- Seth MillerPresident, Advocacy and Administration, General Counsel, Director
- Tammy RobbinsExecutive Vice President, Chief Business Development Officer
- Andrea ShaferSenior Vice President, Chief Supervision Officer
- Carla StoneFirst Vice President, Finance/Chief Accounting Officer
- Jeffrey VivacquaPresident, Growth and Development, Director
- Ryan BoenEVP, Chief Financial Officer