MG
Michael J. Graham
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wellington, FL 33414
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CRD#: 1916832
MG
Professional summary
Michael J Graham, who also goes by Michael James Graham, Mike Graham, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wellington, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wellington, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael James Graham | Mike Graham
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) 3HL ACCOUNTANTS, Lake Worth FL, 04/2023, President, Tax Service, INV REL, 160 HR/MO, 160 Trading 2) THREE HARBOR LIGHTS LLC, Lake Worth FL, 08/2021, Utilizing a trade name/dba, INV REL, 120 HR/MO, 120 Trading
CRS (Client Relationship Summary) - RIA
Click below to view Michael J Graham'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 21, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 12300 S Shore Blvd Suite 216, Wellington, FL 33414RIA
CRD#: 134139
Wellington, FL
Current
May 31, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 12300 S Shore Blvd Suite 216, Wellington, FL 33414BD
CRD#: 39543
Wellington, FL
Past
October 16, 2014 - June 2, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LOXAHATCHEE, FL
Past
August 29, 2013 - June 2, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Lake Worth, FL
Past
January 15, 2010 - November 30, 2012
PMK SECURITIES & RESEARCH, INC.
BD
CRD#: 40145
DELRAY BEACH, FL
Past
October 30, 2008 - July 21, 2009
BROAD STREET SECURITIES, INC.
BD
CRD#: 36101
PLANTATION, FL
Past
May 17, 2002 - November 1, 2002
SPECIALTY FINANCE GROUP, LLC
BD
CRD#: 119434
PALM BEACH, FL
Past
July 9, 1997 - October 24, 2008
1ST DISCOUNT BROKERAGE, INC.
BD
CRD#: 39164
LAKE WORTH, FL
Past
October 24, 1990 - March 17, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 30, 1990 - October 10, 1990
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
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
Florida(6/30/2023)
IAR
Florida(6/30/2023)
RR
Maryland(5/31/2023)
RR
Nevada(10/22/2024)
RR
New Jersey(6/30/2023)
RR
South Carolina(5/31/2023)
RR
Texas(6/20/2023)
IAR
Texas(6/21/2023)
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#: 134139Wellington, FL 33414TRUST BUT VERIFY
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