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MICHAEL KENT TRACY
MIKE TRACY
CRD#: 1457483
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 6600 Westown Parkway
Ste 165
West Des Moines, IA 50265
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 6600 Westown Parkway
Ste 165
West Des Moines, IA 50265
Registration History
199019952000200520102015202020252 FIRMS1999 - 2010 (11 years)2 FIRMS2010 - 2017 (7 years)2 FIRMS2017 - Present (7 years)BBRENTON INVESTMENTS, INC. (CRD# 29462)1992 - 1999 (6 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1988 - 1992 (3 years)BALLIED GROUP SECURITIES CORPOR... (CRD# 3638)1987 - 1988 (1 year)BR. ROWLAND & CO., INCORPORATED (CRD# 911)1986 - 1987 (<1 year)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1986 - 1986 (<1 year)
Disclosure(s)
View By:
7/18/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/29/2023

B
Nebraska 10/16/2017

B
Arizona 8/16/2023

B
Nevada 1/2/2020

B
California 10/16/2017

B
New York 1/15/2019

B
Colorado 1/15/2019

B
North Carolina 10/16/2017

B
Florida 10/16/2017

B
Oklahoma 10/16/2017

IA
Florida 12/7/2022

B
Oregon 10/16/2017

B
Illinois 10/18/2022

B
Pennsylvania 11/20/2023

B
Indiana 1/28/2021

B
Texas 10/16/2017

B
Iowa 10/16/2017

IA
Texas 10/18/2017

IA
Iowa 10/16/2017

B
Virginia 10/16/2017

B
Minnesota 10/16/2017

B
Wisconsin 1/15/2019

B
Missouri 12/1/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
6600 Westown Parkway Ste 165, West Des Moines, IA 50265
Naples, FL
Registered with this firm since 10/16/2017

IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
6600 Westown Parkway Ste 165, West Des Moines, IA 50265
Naples, FL
Registered with this firm since 10/16/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/12/2010 - 10/16/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) west des moines, IA
B
02/11/2010 - 10/16/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) west des moines, IA
IA
12/27/1999 - 02/26/2010 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) CLIVE, IA
B
01/04/1999 - 02/26/2010 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) CLIVE, IA
B
05/20/1992 - 01/07/1999 BRENTON INVESTMENTS, INC. (CRD#:29462) PLYMOUTH, MN
B
06/01/1988 - 04/14/1992 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
04/20/1987 - 06/03/1988 ALLIED GROUP SECURITIES CORPORATION (CRD#:3638)
B
08/20/1986 - 05/08/1987 R. ROWLAND & CO., INCORPORATED (CRD#:911)
B
02/20/1986 - 04/24/1986 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.