Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that Illinois-based Cambridge Investment Research broker/adviser Michael Thaler has received several pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Thaler (CRD# 2557899).
Michael Thaler has spent 24 years in the securities industry and has been registered with Cambridge Investment Research in Henrico, Virginia since 2011. Previous registrations include Sanders Morris Harris in Richmond, Virginia (2008-2011); QA3 Financial Corporation in Richmond, Virginia (2005-2008); National Planning Corporation in Richmond, Virginia (1999-2005); Centennial Capital Management in Atlanta, Georgia (1997-1999); Canada Life of America Financial Services in Greenwood Villages, Colorado (1994-1997); and Cadaret Grant & Company in Syracuse, New York (1995-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 9, 2009; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 5, 1994. He is a registered broker and investment adviser with 43 US states and territories.
According to his BrokerCheck report, he has received three pending customer complaints.