AC
Arthur M. Connor
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
LOMBARD, IL 60148
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CRD#: 52437
AC
Professional summary
Arthur Michael Connor, AIF®, who also goes by Mike Connor, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lombard, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lombard, Illinois.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Arthur has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Connor
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) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) BLUE ISLAND CITIZENS FOR PERSONS WITH DEVELOPMENTAL DISABILITIES, DBA BLUE CAP, 2155 BROADWAY BLUE ISLAND IL, BOARD OF DIRECTORS, 1/1/02, NIR, 2 HR/MO 1 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 03/2012 4) CLEARSTREAM PROPERTIES LLC, 3550 NORTH ARM RD ELY MN, 01/2024, MEMBER, HOLDING COMPANY, NIR, 2 HR/MO 0 HR/MO TRADING 5) ARTHUR MICHAEL CONNOR, 1096 Old Field Dr, Summerville SC 29483, United States, 02/25/2025, Notary, NIR, 1 HR/MO 0 HR/MO TRADING 6) ARTHUR MICHAEL CONNOR, 1096 Old Field Dr, Summerville SC 29483, United States, 02/25/2025, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Michael Connor'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 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 555 E Butterfield Rd Ste 212, Lombard, IL 60148RIA
CRD#: 134139
LOMBARD, IL
Current
March 1, 2012 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 555 E Butterfield Rd Ste 212, Lombard, IL 60148BD
CRD#: 39543
Lombard, IL
Past
August 1, 2007 - February 29, 2012
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
OAKBROOK, IL
Past
August 1, 2007 - February 29, 2012
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
OAKBROOK, IL
Past
August 7, 2001 - August 2, 2007
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
OAKBROOK, IL
Past
February 5, 1992 - August 2, 2007
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
OAKBROOK, IL
Past
June 3, 1974 - January 31, 1992
MONARCH SECURITIES, INC.
BD
CRD#: 2809
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(3/31/2025)
RR
Alaska(10/18/2017)
RR
Arizona(3/1/2012)
RR
California(3/1/2012)
RR
Colorado(5/2/2018)
RR
Connecticut(8/20/2020)
RR
District of Columbia(10/27/2020)
RR
Florida(3/1/2012)
RR
Georgia(7/20/2016)
RR
Hawaii(10/18/2017)
RR
Idaho(2/18/2022)
RR
Illinois(3/1/2012)
IAR
Illinois(3/1/2012)
RR
Indiana(3/1/2012)
RR
Iowa(3/1/2012)
RR
Kansas(5/2/2018)
RR
Louisiana(10/27/2020)
RR
Maryland(2/1/2023)
RR
Massachusetts(5/19/2020)
RR
Michigan(3/1/2012)
RR
Minnesota(5/29/2015)
RR
Missouri(10/1/2019)
RR
Nevada(3/1/2012)
RR
New Jersey(3/1/2012)
RR
New Mexico(3/1/2012)
RR
New York(6/10/2016)
RR
North Carolina(3/1/2012)
RR
Ohio(5/2/2018)
RR
Oklahoma(5/2/2018)
RR
Oregon(5/22/2015)
RR
Pennsylvania(1/25/2019)
RR
South Carolina(12/23/2016)
IAR
South Carolina(11/3/2024)
RR
South Dakota(10/27/2020)
RR
Tennessee(2/28/2022)
RR
Texas(3/1/2012)
IAR
Texas(5/13/2015)
RR
Utah(11/11/2025)
RR
Virginia(3/1/2012)
RR
Washington(3/1/2012)
RR
Wisconsin(3/1/2012)
RR
Wyoming(7/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/29/1974
Registered Representative ExaminationPrincipal/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.
