ML
Michael J. Leone
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
PLANTSVILLE, CT 06479
Some features on this profile are disabled
CRD#: 1786208
ML
Professional summary
Michael John Leone is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Plantsville, Connecticut and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Plantsville, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. PLAN OF CT, 151 NEW PARK AVE, HARTFORD, CT 06106, BOARD MEMBER SINCE 1/1/95, NON-INVESTMENT RELATED, 0 HOURS DURING TRADING HOURS. 2. PLAINVILLE FISH AND GAME ASSOC, PLAINVILLE, CT 06062, SECRETARY, SINCE 4/1/00, 5 HOURS MONTHLY NONE DURING TRADING HOURS. 3. LUCAS LEONE RACING, Southington CT 06489, 01/2021, Owner/Partner of a Business Entity, owning and operating a race car, NIR, 50 HR/MO - 0 HR/MO TRADING 4. ASSOCIATED TAX SERVICE, Southington CT 06489, 01/1998, TAX PREPARER, TAX SERVICES, NIR 20 HR/MO - 20 HR/MO TRADING MICHAEL LEONE 5. AUTHOR, Southington CT 06489, 06/1996, author of book about race car set up, NIR, 1 HR/MO - 0 HR/MO TRADING 6. ASSOCIATED INSURANCE BENEFITS LLC, LEONE FINANCIAL SERVICES LLC, Southington CT 06489, 04/1986, AGENT, INDEPENDANT INSURANCE AGENT, INV-REL, 80 HR/MO - 80 HR/MO TRADING 7. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 8. TREASURER PLAINVILLE FISH AND GAME ASSOC, Allentown Rd, Plymouth CT 06786, United States, 03/01/2025, Treasurer, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 4 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Leone'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
October 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1143 Meriden Waterbury Turnpike, Plantsville, CT 06479RIA
CRD#: 134139
PLANTSVILLE, CT
Current
October 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1143 Meriden Waterbury Turnpike, Plantsville, CT 06479BD
CRD#: 39543
Plantsville, CT
Past
March 6, 2000 - October 5, 2012
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
SOUTHINGTON, CT
Past
January 18, 2000 - October 5, 2012
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
SOUTHINGTON, CT
Past
March 31, 1997 - December 31, 1999
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 27, 1996 - April 2, 1997
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
January 14, 1993 - March 21, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
April 4, 1992 - October 29, 1992
DOMINARI SECURITIES LLC
BD
CRD#: 18975
NEW YORK, NY
Past
July 12, 1991 - February 20, 1992
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
February 17, 1988 - June 21, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
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
Colorado(3/14/2024)
RR
Connecticut(10/1/2012)
IAR
Connecticut(10/1/2012)
RR
Florida(10/1/2012)
RR
Georgia(1/3/2022)
RR
Massachusetts(10/1/2012)
RR
New Hampshire(8/23/2023)
RR
New York(10/1/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
