Michael J. Roarty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael James Roarty, who also goes by Mike Roarty, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2005 - December 8, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 14, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 7, 2003 - December 8, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 16, 2000 - October 7, 2002
USALLIANZ SECURITIES, INC.
March 16, 2000 - October 7, 2002
USALLIANZ SECURITIES, INC.
April 3, 1998 - February 23, 2000
WALNUT STREET SECURITIES, INC.
November 10, 1992 - April 3, 1998
AEGON USA SECURITIES INC.
November 1, 1989 - June 21, 1991
AMERICAN GENERAL SECURITIES INCORPORATED
October 2, 1981 - December 21, 1987
GLOBAL INVESTOR SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 8/12/1986
Non-Member General Securities ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
