MN
Michael E. Newell
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Albuquerque, NM 87110
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CRD#: 2947643
MN
Professional summary
Michael Edward Newell, who also goes by Michael E Newell, Michael Newell, Mike Newell, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Albuquerque, New Mexico and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Albuquerque, New Mexico.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael E Newell | Michael Newell | Mike Newell
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)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2)CURIS RIS, LLC, ALBUQUERQUE, NM, SINCE 4/2015 as INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2 HR/MO - NONE DURING TRADING. 3) RETIRESMARTNM, Albuquerque NM 87110, 04/2015, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Newell'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 22, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6000 Uptown Blvd Ne, Suite 100, Albuquerque, NM 87110RIA
CRD#: 134139
Albuquerque, NM
Current
April 22, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6000 Uptown Blvd Ne Ste 100, Albuquerque, NM 87110BD
CRD#: 39543
Albuquerque, NM
Past
November 13, 2007 - April 27, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ALBUQUERQUE, NM
Past
October 23, 2007 - April 27, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ALBUQUERQUE, NM
Past
October 30, 2003 - October 22, 2007
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ALBUQUERQUE, NM
Past
October 21, 2002 - October 22, 2007
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ALBUQUERQUE, NM
Past
July 16, 2001 - October 14, 2002
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
August 28, 1998 - June 28, 2001
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
November 5, 1997 - August 21, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Arizona(9/15/2020)
RR
Colorado(1/2/2018)
RR
Florida(4/15/2020)
RR
New Hampshire(6/15/2022)
RR
New Mexico(4/22/2015)
IAR
New Mexico(4/22/2015)
RR
Texas(6/15/2022)
IAR
Texas(6/16/2022)
RR
Vermont(1/2/2018)
IAR
Vermont(1/30/2023)
RR
Virginia(4/22/2015)
RR
Washington(1/2/2020)
RR
Wyoming(12/9/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Albuquerque, NM 87110TRUST BUT VERIFY
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