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Detailed Report
Michael Francis Middendorf
MIKE MIDDENDORF
CRD#: 2969928
IA
Investment Adviser
B
Broker
ALPHA CUBED INVESTMENTS, LLCCRD#: 159347 1124 BRISTOL ST.
COSTA MESA, CA 92626
THE LEADERS GROUP, INC.CRD#: 37157 Montgomery, TX
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1998 (<1 year)2 FIRMS2006 - 2013 (6 years)2 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - Present (10 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2002 - 2006 (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2001 - 2002 (1 year)BCYBERTRADER, INC. (CRD# 44523)2001 - 2001 (<1 year)BDORTCH SECURITIES & INVESTMENT... (CRD# 42207)2000 - 2000 (<1 year)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1998 - 2000 (1 year)IATD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2003 - 2006 (2 years)
License(s)

State Registrations

IA
California 5/7/2018
B
Texas 10/14/2014
B
Nebraska 10/14/2014
IA
Texas 10/15/2014

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ALPHA CUBED INVESTMENTS, LLC (CRD#:159347)
1124 BRISTOL ST., COSTA MESA, CA 92626
Registered with this firm since 10/15/2014
B
THE LEADERS GROUP, INC. (CRD#:37157)
Montgomery, TX
Registered with this firm since 10/14/2014
Previous Registration(s)
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IA
 02/08/2013 - 10/23/2014 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) THE WOODLANDS, TX
B
 02/08/2013 - 10/23/2014 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) THE WOODLANDS, TX
IA
 08/01/2006 - 02/15/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
 08/01/2006 - 02/15/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
IA
 06/30/2003 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) HOUSTON, TX
B
 07/22/2002 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) HOUSTON, TX
B
 01/19/2001 - 07/11/2002 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 03/06/2001 - 07/17/2001 CYBERTRADER, INC. (CRD#:44523) AUSTIN, TX
B
 06/28/2000 - 10/24/2000 DORTCH SECURITIES & INVESTMENTS, INC. (CRD#:42207) LITTLE ROCK, AR
B
 02/10/1998 - 01/07/2000 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
 11/17/1997 - 02/09/1998 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 11/17/1997 - 02/09/1998 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.