MA
Michael L. Adams
CAMBRIDGE INVESTMENT RESEARCH
Bath, NC 27808
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CRD#: 2684864
MA
Professional summary
Michael Lee Adams, who also goes by Mike Adams, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bath, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Adams
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Lee Adams'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
April 23, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 424 A Carteret St, Bath, NC 27808Office #2: 1776 Pleasant Plain Rd., Fairfield, IA 52556-8757BD
CRD#: 39543
Bath, NC
Past
January 2, 2008 - April 28, 2021
OSAIC FS, INC.
BD
CRD#: 3870
BATH, NC
Past
October 1, 2002 - December 31, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
BATH, NC
Past
February 14, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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(4/23/2021)
RR
New Jersey(4/23/2021)
RR
New York(4/23/2021)
RR
North Carolina(4/23/2021)
RR
Oregon(4/23/2021)
RR
Pennsylvania(6/10/2021)
RR
South Carolina(4/23/2021)
RR
Tennessee(6/10/2021)
RR
Virginia(5/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543Bath, NC 27808TRUST BUT VERIFY
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