Victor M. Mokricky
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.
Victor Michael Mokricky, who also goes by Mike Mokricky, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1995. Victor had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2022 - May 24, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 6, 2022 - May 24, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 22, 2019 - November 3, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 20, 2019 - November 3, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 26, 2016 - September 5, 2017
BROKER DEALER FINANCIAL SERVICES CORP.
August 31, 2010 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
January 1, 2004 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
April 28, 1998 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 21, 1997 - March 10, 1998
U.S. BANCORP INVESTMENTS, INC.
November 16, 1995 - February 13, 1997
MORGAN STANLEY DW 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 52TO
Date: 1/2/2023
Municipal Securities Representative 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.
