Charles Michael Estes

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2011 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2004-01-06 → 2011-02-03
  Mml Investors Services, Llc
  Brentwood, TN
  Nashville, TN
  Brentwood, TN

Other Businesses

1) CHARLES M. ESTES, NO, 401 COMMERCE ST STE 1350 NASHVILLE, TN 37219, INSURANCE BROKER, BROKER, 03/01/1998, 5HRS/MO, 5HRS/DURING SEC TRADING AGENCY ONE BETHESDA MARYLAND INSURANCE BROKER 2) INSURANCE AGENT/SALES. CAPITAL WEALTH ADVISORS, LLC 112 WESTWOOD SUITE 160 BRENTWOOD, TN 37027. AGENT. 02/01/86. INVESTMENT RELATED. DEVOTED 20 HRS/WEEKLY. 20 HRS DURING TRADING. COMMISSIONS FROM THE SLAE OF INSURANCE PRODUCTS. 3) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 4) NASHVILLE ALZHIEMERS GOLF CLASSIC 112 WESTWOOD SUITE 160 BRENTWOOD, TN 37027. BEGAN 01/01/2012 AS VOLUNTEER. NOT INVESTMENT RELATED. DEVOTES 5 HRS/MNTH. 1 HR DURING TRADING. NON-PROFIT ORGANIZATION. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 02/01/11,SEE EMPLOYMENT FOR START DATE 6) PAT SUMMITT FOUNDATION, 520 W Summitt Hill Drive, Knoxville TN 37902, United States, 08/01/2024, Board Member, Volunteer, NIR, 2 HR/MO - 0 HR/MO TRADING

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-05-07

Other Names

• Mike Estes