MW
Michael K. Wendt
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Johnson Creek, WI 53038
Some features on this profile are disabled
CRD#: 5390051
MW
Professional summary
Michael Kurt Wendt is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Johnson Creek, Wisconsin and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Johnson Creek, Wisconsin.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.WENDT PROPERTY MANAGEMENT LLC, 505 REVERE WAY, WATERTOWN WI, 10/2012 AS OWNER/PRESIDENT OF LLC TO MANAGE/OWN RENTAL PROPERTY. NIR - 1/MO - 0/TRADING. 2.NATIONAL GUARDIAN LIFE, 2 E GILMAN STREET STOP 1, MADISON, WI 1/2012 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 4/YR - 4/TRADING. 3.UNITED LIFE INSURANCE GROUP, 118 2ND AVE SE, CEDAR RAPIDS, IA, 3/2013 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 20/YR - 20/TRADING. 4.CAPITAS FINANCIAL MIDWEST LLC, 735 N WATER ST STE 1110, MILWAUKEE, WI, 1/2017 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 5/MO - 5/TRADING. 5.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. 6.INSOURCE INC, 8500 KEYSTONE CROSSING STE 300, INDIANAPOLIS, IN, 8/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/MO - 1/TRADING. 7.UNITED LIFE, 118 2ND AVE SE, CEDAR RAPIDS, IA, 9/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 15/R - 15/TRADING. 8. BADGER BANK INVESTMENT COMMITTEE, 220 GRANT ST, FORT ATKINSON, WI, 07/2017. BOARD MEMBER, REVIEW INCOMING AND OUTGOING ACCOUNTS. INV REL-3/MO-3/TRADING. 9. CRUMP LIFE INSURANCE, 2901 W BELTLINE HWY #201, MADISON, WI, 01/2019. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-40/YR-40/TRADING. 10. WENDT PROPERTY BROTHERS, LLC / 201 Red Fox Drive, Johnson Creek WI 53038 / 12/09/2021 / NIR / MEMBER - PURCHASE PROPERTY FOR RESALE IN THE FUTURE / 5HR/MO - 5HR/MO TRADING 11. ASH BROKERAGE, LLC- INTEGRITY, 888 S. Harrison St., Suite 900, Fort Wayne IN 46802, United States, 08/23/2018, Agent , INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MO - 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Michael Kurt Wendt'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
October 20, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 545 Village Walk Lane Ste C, Johnson Creek, WI 53038RIA
CRD#: 134139
Johnson Creek, WI
Current
October 20, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 545 Village Walk Lane Ste C, Johnson Creek, WI 53038BD
CRD#: 39543
Johnson Creek, WI
Past
February 13, 2012 - October 20, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
JOHNSON CREEK, WI
Past
May 28, 2009 - October 20, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
JOHNSON CREEK, WI
Past
February 14, 2008 - May 29, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
JOHNSON CREEK, WI
Past
August 9, 2007 - September 14, 2007
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
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
Colorado(10/20/2017)
RR
Florida(3/25/2020)
RR
Georgia(5/14/2024)
RR
Illinois(10/20/2017)
RR
Minnesota(6/1/2018)
RR
Montana(8/26/2020)
RR
Oklahoma(11/4/2021)
RR
Texas(5/22/2018)
IAR
Texas(5/22/2018)
RR
Wisconsin(10/20/2017)
IAR
Wisconsin(10/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
