MC
Michael J. Calvelli
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Santa Rosa, CA 95404
Some features on this profile are disabled
CRD#: 1237708
MC
Professional summary
Michael J Calvelli, who also goes by Michael Joseph Calvelli, Michael Calvelli, Mike Calvelli, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Santa Rosa, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Santa Rosa, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Joseph Calvelli | Michael Calvelli | Mike Calvelli
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 06/2016, AS ADVISORY REP OF A RIA. INV REL, 25 HR/WK 5/TRADING 2) FRIENDS HOUSE- A CONTINUING CARE COMMUNITY, 684 BENICIA DR SANTA ROSA CA, 01/2015, BOARD MEMBER, NIR, 5 HR/MO 0 HR/MO TRADING 3) OPEN TRAIL FINANCIAL CONSULTANTS, 111 SANTA ROSA AVENUE SUITE 330 SANTA ROSA CA, 05/2024, IAR, DBA, INV REL, 0 HR/MO 0 HR/MO TRADING 4) THE JULIA GARDNER GRANT FOUNDATION (IN FORMATION), 2151 SCHULTZ KENWOOD CA, 09/2024, BOARD MEMBER, CHARITABLE FOUNDATION, NIR, 2 HR/MO 0 HR/MO TRADING 5) PROTECTED INVESTORS OF AMERICA, 111 Santa Rosa Avenue, Suite 330, Santa Rosa CA 95404, 12/2024, Protected Investors of America is a DBA only, Using a Trade Name / DBA, INV REL, 0 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael J Calvelli's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 10, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 111 Santa Rosa Ave Suite 330, Santa Rosa, CA 95404RIA
CRD#: 134139
Santa Rosa, CA
Current
June 10, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 111 Santa Rosa Ave Sutie 330, Santa Rosa, CA 95404BD
CRD#: 39543
Santa Rosa, CA
Past
March 14, 2012 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
RIA
CRD#: 6082
Santa Rosa, CA
Past
March 13, 2012 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
BD
CRD#: 6082
Santa Rosa, CA
Past
October 25, 2011 - February 29, 2012
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
February 5, 2008 - March 17, 2011
PERSHING LLC
BD
CRD#: 7560
SAN DIEGO, CA
Past
August 30, 2007 - January 24, 2008
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
SAN FRANCISCO, CA
Past
August 30, 2007 - January 24, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
Past
December 14, 2004 - July 17, 2007
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
SAN DIEGO, CA
Past
December 2, 2003 - July 17, 2007
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
August 12, 2003 - September 9, 2005
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN DIEGO, CA
Past
August 12, 2003 - September 9, 2005
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
July 17, 2002 - August 19, 2003
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN RAFAEL , CA
Past
March 19, 2001 - August 19, 2003
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
September 14, 1994 - February 28, 2001
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/5/2016)
RR
Alaska(6/10/2016)
RR
Arizona(6/10/2016)
RR
Arkansas(11/16/2017)
RR
California(6/10/2016)
IAR
California(6/10/2016)
RR
Colorado(6/10/2016)
RR
Connecticut(6/10/2016)
RR
District of Columbia(9/27/2016)
RR
Florida(6/10/2016)
RR
Georgia(6/10/2016)
RR
Hawaii(6/10/2016)
RR
Idaho(6/10/2016)
RR
Illinois(6/10/2016)
RR
Indiana(6/10/2016)
RR
Iowa(6/10/2016)
RR
Kansas(8/18/2016)
RR
Louisiana(7/24/2017)
RR
Maine(6/10/2016)
RR
Maryland(6/10/2016)
RR
Massachusetts(7/18/2016)
RR
Michigan(6/10/2016)
RR
Minnesota(7/21/2017)
RR
Missouri(1/4/2021)
RR
Montana(9/16/2016)
RR
Nebraska(6/10/2016)
RR
Nevada(9/6/2016)
RR
New Hampshire(6/10/2016)
RR
New Jersey(6/10/2016)
RR
New Mexico(6/10/2016)
RR
New York(6/10/2016)
RR
North Carolina(6/13/2016)
RR
North Dakota(2/29/2024)
RR
Ohio(6/24/2016)
RR
Oklahoma(6/10/2016)
RR
Oregon(7/22/2016)
RR
Pennsylvania(6/10/2016)
RR
Rhode Island(1/3/2017)
RR
South Carolina(4/12/2021)
RR
South Dakota(6/10/2016)
RR
Tennessee(12/19/2017)
RR
Texas(6/10/2016)
IAR
Texas(6/10/2016)
RR
Utah(6/13/2016)
RR
Virginia(6/10/2016)
RR
Washington(6/10/2016)
RR
Wisconsin(6/10/2016)
RR
Wyoming(7/21/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Santa Rosa, CA 95404TRUST BUT VERIFY
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