Michael Ray Gula

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2010-04-22

CT RA
APPROVED

Since 2010-04-22

Branch Locations

Niantic, CT • 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

Organization	City	State	From	To
Cambridge Investment Research, Inc.	Fairfield	IA	04/2010	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	04/2010	Present

04/2010 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
04/2010 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2003-11-06 → 2009-06-26

Essex Financial Services, Inc.

Essex, CT

Essex, CT
1996-02-05 → 2003-11-07

Raymond James Financial Services, Inc.

Essex, CT

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 04/22/2010

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-06-10
S63	Uniform Securities Agent State Law Examination	1987-10-01

S65 Uniform Investment Adviser Law Examination

2009-06-10
S63 Uniform Securities Agent State Law Examination

1987-10-01

View on SEC IAPD