ME
Michael Effron
CAMBRIDGE INVESTMENT RESEARCH
Pompano Beach, FL 33069
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CRD#: 2658724
ME
Professional summary
Michael Effron, who also goes by Michael G Effron, Michael Glenn Effron, Mike Effron, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Pompano Beach, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael G Effron | Michael Glenn Effron | Mike Effron
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.
SALES OF INVESTMENT-RELATED PRODUCTS, PART-TIME OR FULL-TIME, FOR COMPANIES AFFILIATED WITH PFS INVESTMENTS INC. I MAY ALSO RECEIVE NON-INVESTMENT RELATED COMPENSATION FROM PRIMERICA CLIENT SERVICES, INC. (A CO-LOCATED AFFILIATE OF PFS INVESTMENTS INC.) FOR PART-TIME REFERRALS OF HOME SECURITY AND AUTOMATION PRODUCTS, AS WELL AS OTHER HOME RELATED SERVICES M SPA BOCA, LLC TITLE, 02/2021 TO PRESENT,NATURE OF BUSINESS: MEDICAL SPA THERAPY FACILITY, 7412 MANDARIN DR., BOCA RATON,FL 33433, NON-INVESTMENT RELATED, # OF HOURS PER MONTH: 40-50 ( 20-25 HOURS PER MONTH DURING SECURITIES TRADING HOURS) CUTTING ROAD HOLDINGS,LLC (FKA CUTING ROAD CAPITAL LLC), OWNER , 02/2021 TO PRESENT, NATURE OF BUSINESS: HOLDING ENTITY / COMPANY FOR FOR M SPA , LLC, 7412 MANDARIN DR., BOCA RATON, FL 33433, NON- INVESTMENT RELATED ,# OF PER MONTH :0 ( O HOURS PER MONTH DURING SECURITIES TRADING HOURS)
CRS (Client Relationship Summary) - BD
Click below to view Michael Effron'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
November 1, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 555 South West 12th Ave Suite 210, Pompano Beach, FL 33069BD
CRD#: 39543
Pompano Beach, FL
Past
May 27, 2021 - August 3, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
MIAMI LAKES, FL
Past
May 19, 2021 - August 3, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
MIAMI LAKES, FL
Past
September 16, 2011 - May 31, 2019
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
BOCA RATON, FL
Past
June 1, 2010 - May 31, 2019
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
June 9, 2005 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
May 9, 2003 - June 6, 2005
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
December 5, 2000 - May 1, 2003
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
November 24, 1997 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
October 13, 1995 - October 29, 1997
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(12/6/2024)
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, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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, INC.
CRD#: 39543Pompano Beach, FL 33069TRUST BUT VERIFY
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