Michael A. Garcia
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.
Michael Allan Garcia, who also goes by Michael Garcia, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2016 - December 20, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 9, 2016 - December 20, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 2, 2015 - August 6, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 29, 2015 - August 6, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 19, 2014 - April 30, 2015
DYNASTY CAPITAL PARTNERS, INC.
June 13, 2014 - April 30, 2015
DYNASTY CAPITAL MANAGEMENT, INC
April 11, 2012 - November 1, 2013
INSTITUTE FOR WEALTH ADVISORS, INC.
March 24, 2012 - December 31, 2013
AVALON INVESTMENT & SECURITIES GROUP, INC.
March 7, 2011 - March 26, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 1, 2010 - June 14, 2010
U.S. BANCORP INVESTMENTS, INC.
June 1, 2010 - June 23, 2010
U.S. BANCORP INVESTMENTS, INC.
July 31, 2008 - June 8, 2010
KEY INVESTMENT SERVICES LLC
March 15, 2007 - June 8, 2010
KEY INVESTMENT SERVICES LLC
April 5, 2005 - March 19, 2007
WAMU INVESTMENTS, 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
Current 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.
