Announcements
Cambridge Holiday Hours
- Christmas Eve | Friday, December 22 – Early Releases at 3:30 p.m. CT
- Christmas Day | Monday, December 25 – CLOSED
- New Year’s Eve | Friday, December 29 – Early Releases at 3:30 p.m. CT
PJ Advisor Group Holiday Hours
- Christmas Eve | Friday, December 22 – WORKING REMOTE
- Christmas Day | Monday, December 25 – CLOSED
- Day after Christmas | Tuesday, December 26 – CLOSED
If you have an urgent matter to discuss with us, please contact Steve directly.
Compliance Reminders
Verbally Verify All Trade Orders!
With the end of year fast approaching and then tax season coming everyone gets busier. It is important to remember that we cannot accept trade orders or money movement through an email request. Please be sure you are contacting your client by phone to validate any email requests.
As stated in the Compliance Manual, “It is Cambridge policy for financial professionals to verify requests for money or funds movement or banking instructions verbally or in person with their clients.” This policy is based upon regulatory guidance that includes, but is not limited to, FINRA Regulatory Notice 12-05 Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts.
Please be sure that your email disclosure states that trade orders will not be accepted via email.
Upcoming Events
Cambridge Community of Women Forum | February 8-10, 2024 | Fort Lauderdale, FL – Register Here
PJ Advisor Group Annual Enterprise Meeting | April 21-24, 2024 | Tempe, AZ- RSVP HERE
Cambridge Accelerate | May 6-8, 2024 | Scottsdale, AZ
*We highly recommend sending your administrative staff to this!
2024 Ignite Cambridge | August 20-23 | Gaylord Rockies Resort | Aurora, CO
Cambridge Virtual Events – For information on Cambridge’s virtual webinars, please visit this link.
Helpful Resources
- Disclosure Checklist – Click here
- Required Disclosure Table – Click here
- Terminating a Client – Guide
- Vulnerable Client Documentation Process – Click here
- Diminished Capacity Documentation Process – Click here
- Vulnerable Client Intake Form – Click here
Just a reminder that all of these helpful resources and more, can be found on the PJ website under Advisor Login. Call our office if you forgot the password.