Articles Tagged with Cambridge Investment Research

Michael ThalerPublicly 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.

Kimberly KendrotPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Florida-based Cambridge Investment Research broker/adviser Kimberly Kendrot has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kendrot (CRD# 2298796).

Kimberly Kendrot has spent 25 years in the securities industry and has been registered with Cambridge Investment Research in Boca Raton, Florida since 2015. Previous registrations include Voya Financial Advisors in Boca Raton, Florida (2006-2015) and HD Vest Investment Services in West Palm Beach, Florida (1993-2006). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 15, 2002; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 62 (Corporate Securities Limited Representative Examination), which she obtained on November 3, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 22, 1993. She is a registered broker and investment adviser with seven US states and territories: Colorado, Connecticut, Florida, New Hampshire, Oklahoma, Texas, and Washington.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two denied customer complaints.

Stephen FlorioPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that Florida-based Cambridge Investment Research broker Stephen Florio, who has received a customer dispute, was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Florio (CRD# 1186577).

Stephen Florio has spent 34 years in the securities industry and has been registered with Cambridge Investment Research in Fort Lauderdale, Florida since October 2018. Previous registrations include Raymond James & Associates in Fort Lauderdale, Florida (2015-2018); Morgan Stanley in Fort Lauderdale, Florida (2009-2015); Morgan Stanley & Company in Fort Lauderdale, Florida (2007-2009); Morgan Stanley DW in Fort Lauderdale, Florida (2007); Banc of America Investment Services in Fort Lauderdale, Florida (2003-2007); Raymond James & Associates in St. Petersburg, Florida (1994-2003); Barnett Investments in Jacksonville, Florida (1989-1993); Barnett Bond Service (1987-1989); and Dean Witter Reynolds (1983-1987). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 13, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 13, 1983; SIE (Securities Industry Essentials Examination), which he obtained on August 31, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is currently not licensed as a broker with any US state.

According to his BrokerCheck report, he has received one customer complaint and was recently discharged from a former employer in connection to alleged rule violations.

Stephanie AbeePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 2, 2018 indicate that North Carolina-based Cambridge Investment Research broker/adviser Stephanie Abee has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abee (CRD# 5888654).

Stephanie Abee has spent six years in the securities industry and has been registered with Cambridge Investment Research in Raleigh, North Carolina since April 2016. Previous registrations include TransAmerica Financial Advisors in Raleigh, North Carolina (2013-2016); NFP Securities in Raleigh, North Carolina (2012-2013); and TransAmerica Financial Advisors in Raleigh, North Carolina (2011-2012). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 7, 2011, and Series 7 (General Securities Representative Examination), which she obtained on April 20, 2011. She is a registered broker and investment adviser with nine US states and territories: Delaware, the District of Columbia, Kentucky, Maryland, Minnesota, North Carolina, Ohio, Oregon and Virginia.

According to her BrokerCheck report, she has received one customer complaint and one pending customer complaint.

Dale Wright

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Virginia-based Cambridge Investment Research broker/adviser Dale Wright has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wright (CRD# 1142615).

Dale Wright has spent 25 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; QA3 Financial Corporation in Richmond, Virginia; National Planning Corporation in El Segundo, California; Centennial Capital Management in Atlanta, Georgia; and First American National Securities in Duluth, Georgia. He is a registered broker and investment adviser with nine US states and territories: Arizona, the District of Columbia, Florida, Indiana, Maryland, North Carolina, Pennsylvania and Texas.

According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.