JM
Joseph M. Milano
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Short Hills, NJ 07078
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CRD#: 4524323
JM
Professional summary
Joseph M Milano, ChFC®, CLU® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Short Hills, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Charlotte, North Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) MILANO FINANCIAL GROUP, 3437 PARK SOUTH STATION BLVD CHARLOTTE NC, 03/2002, MANAGING DIRECTOR/AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 80 HR/MO 80 HR/MO TRADING 2) SMB VILLAS LLC,3437 PARK SOUTH STATION BLVD CHARLOTTE NC, 08/2015, LLC PRESIDENT, RENTAL PROPERTY OWNERSHIP, NIR, 1 HR/MO 0 HR/MO TRADING 3) OCULO ADVISORY GROUP LLC, 3437 PARK SOUTH STATION BLVD CHARLOTTE NC, 04/2018, MANAGING MEMBER OF INSURANCE BROKERAGE AGNECY. INV REL, 20 HR/MO 12 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2018, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 5) NEW SOUTH WEALTH MANAGEMENT LLC, 3437 PARK SOUTH STATION BLVD CHARLOTTE NC, 06/2018. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 40 HR/WK 20 HR/TRADING 6) SOUTH PARK FINANCIAL PAVILION LLC, 4539 HEDGEMORE DRIVE CHARLOTTE NC, 09/2024, OWNER, REAL ESTATE, NIR, 1 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Joseph M Milano'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®
Experience
Current
March 8, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 51 Jfk Pkwy. Ste. 119, Short Hills, NJ 07078Office #2: 4539 Hedgemore Drive Suite 103, Charlotte, NC 28209Office #3: 110 Matthews Station St. Suite 2g, Matthews, NC 28105RIA
CRD#: 134139
Short Hills, NJ
Current
March 8, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4539 Hedgemore Drive Suite 103, Charlotte, NC 28209Office #2: 110 Matthews Station St. Suite 2g, Matthews, NC 28105BD
CRD#: 39543
Charlotte, NC
Past
January 5, 2018 - February 12, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CHARLOTTE, NC
Past
December 22, 2016 - February 12, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CHARLOTTE, NC
Past
August 28, 2014 - January 9, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
CHARLOTTE, NC
Past
August 25, 2014 - January 9, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
CHARLOTTE, NC
Past
April 29, 2014 - July 1, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
STATEN ISLAND, NY
Past
May 24, 2002 - July 1, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
STATEN ISLAND, 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
Alabama(1/2/2024)
RR
California(9/28/2022)
RR
Colorado(6/13/2023)
RR
Florida(3/17/2022)
RR
Georgia(1/2/2024)
RR
Illinois(1/2/2024)
RR
Louisiana(1/2/2024)
RR
Mississippi(1/2/2024)
RR
New Hampshire(1/2/2024)
RR
New Jersey(1/18/2019)
IAR
New Jersey(6/20/2024)
RR
New York(3/8/2018)
RR
North Carolina(3/8/2018)
IAR
North Carolina(3/8/2018)
RR
Ohio(1/3/2024)
RR
South Carolina(3/8/2018)
RR
Tennessee(1/2/2024)
RR
Texas(1/2/2024)
IAR
Texas(1/3/2024)
RR
Virginia(12/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
