Michael R. Brown
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 Richard Brown, who also goes by Michael R Brown, Michael R Frotten, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE 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 18, 2024 - February 27, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 14, 2024 - February 27, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 28, 2022 - June 7, 2022
PARK AVENUE SECURITIES LLC
December 2, 2021 - June 7, 2022
PARK AVENUE SECURITIES LLC
July 27, 2021 - September 13, 2021
WOODBURY FINANCIAL SERVICES, INC.
August 31, 2016 - September 5, 2017
NEWPORT GROUP SECURITIES, INC.
October 1, 2015 - July 8, 2016
ONEAMERICA SECURITIES, INC.
December 3, 2014 - October 1, 2015
BMO INVESTMENT DISTRIBUTORS, LLC
June 23, 2011 - November 10, 2014
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 5, 2010 - June 1, 2011
OSAIC FA, INC.
March 5, 2009 - September 21, 2010
MML INVESTORS SERVICES, LLC
March 14, 2008 - February 19, 2009
NEW ENGLAND SECURITIES
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
Series 7TO
Date: 12/17/2021
General Securities Representative ExaminationSeries 6TO
Date: 7/27/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
