MS
Michael R. Sima
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Columbus, OH 43220
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CRD#: 5263772
MS
Professional summary
Michael Richard Sima, who also goes by Michael Sima, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Columbus, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Columbus, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Sima
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 07/23/20 2) COVENANT FINANCIAL ADVISORS, 4930 REED RD, COLUMBUS, OH, 07/03/2023, Agent, Insurance/Benefits/Human Resources, INV REL, 8 HR/MO - 8HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Michael Richard Sima'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
July 23, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 4942 Reed Road, Columbus, OH 43220Office #2: 285 Main St., Bellville, OH 44813Office #3: 4200 Hoover Rd., Grove City, OH 43123RIA
CRD#: 134139
Columbus, OH
Current
July 20, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4942 Reed Road, Columbus, OH 43220Office #2: 285 Main St., Bellville, OH 44813Office #3: 4200 Hoover Rd., Grove City, OH 43123BD
CRD#: 39543
Columbus, OH
Past
September 20, 2018 - July 23, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
COLUMBUS, OH
Past
September 20, 2018 - July 23, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
COLUMBUS, OH
Past
March 1, 2018 - April 5, 2018
MEEDER DISTRIBUTION SERVICES, INC.
BD
CRD#: 36773
DUBLIN, OH
Past
May 21, 2015 - June 30, 2017
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
DUBLIN, OH
Past
May 7, 2015 - June 30, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
COLUMBUS, OH
Past
February 24, 2015 - April 15, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLUMBUS, OH
Past
February 24, 2015 - April 15, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
COLUMBUS, OH
Past
September 23, 2013 - January 15, 2015
OSAIC FA, INC.
RIA
CRD#: 3978
COLUMBUS, OH
Past
September 23, 2013 - January 15, 2015
OSAIC FA, INC.
BD
CRD#: 3978
COLUMBUS, OH
Past
June 1, 2009 - September 16, 2013
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBUS, OH
Past
June 1, 2009 - September 16, 2013
MORGAN STANLEY
BD
CRD#: 149777
COLUMBUS, OH
Past
June 14, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
COLUMBUS, OH
Past
March 15, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
COLUMBUS, OH
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(6/9/2021)
RR
California(9/23/2021)
RR
Florida(8/7/2020)
RR
Maine(11/3/2025)
RR
North Carolina(3/7/2022)
RR
Ohio(7/20/2020)
IAR
Ohio(7/23/2020)
RR
West Virginia(10/5/2023)
Exams
State Security Law Exam
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
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.
