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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-09
TX RA APPROVED_RES 2021-03-24
  • NY RA
    APPROVED
    Since 2021-04-09
  • TX RA
    APPROVED_RES
    Since 2021-03-24

Branch Locations

825 East Gate Blvd Ste 103, Garden City, NY 11530 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securitites Corporation, Inc Garden City NY 08/2004 10/2019
Depaolo & Associates, Inc (Dba: The Ibc Group) Garden City NY 01/2007 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 10/2019 Present
Cambridge Investment Research, Inc. Fairfield IA 10/2019 Present
Db Advisor Group Garden City NY 09/2014 Present
  • 08/2004 → 10/2019
    Fsc Securitites Corporation, Inc
    Garden City, NY
  • 01/2007 → Present
    Depaolo & Associates, Inc (Dba: The Ibc Group)
    Garden City, NY
  • 10/2019 → Present
    Fairfield, IA
  • 10/2019 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 09/2014 → Present
    Db Advisor Group
    Garden City, NY
Previous Registrations
Other Businesses

1.DB ADVISOR GROUP, 825 E GATE BLVD STE 103, GARDEN CITY, NY, 9/2014 AS PRESIDENT OF SCORP TO PROVIDE TAX AND LEGAL LIABILITY. NIR - 1/WK - 1/TRADING. 2.DEPAOLO & ASSOCIATES INC, 825 E GATE BLVD STE 103, GARDEN CITY, NY, 9/2012 AS PRESIDENT OF SCORP SUB LEASING OFFICE SPACE. NIR - 5/YR - 0/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 4. NETTWORTH FINANCIAL GROUP, 825 East Gate Blvd, Ste. 103, Garden City NY 11530, 11/2014, Investment Advisor Representative, Marketing, NIR, 10 HR/MO, 5 HR/MO TRADING. 5. DB ADVISOR GROUP, 825 East Gate Blvd Suite 103, Garden City NY 11530, United States, 01/01/2026, President, Owner/Partner of a Business Entity, NIR, 4 HR/MO - 4 HR/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-10
S63 Uniform Securities Agent State Law Examination 1996-12-23
  • S66 Uniform Combined State Law Examination
    2001-08-10
  • S63 Uniform Securities Agent State Law Examination
    1996-12-23
Other Names
  • Mike Depaolo

View on SEC IAPD

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