MT
MT
Michael Thaler is a registered investment advisor, based in Richmond, VA, with 31 years of industry experience.
Location
3900 Westerre Pkwy., Ste. 103, Richmond, VA, 23233
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Investigation
November 2022Customer Dispute
November 2022Denied
Customer Dispute
September 2022Denied
Other Business ActivitiesSells Insurance
Michael is a minority shareholder in Equity Concepts, president of Effective Ministries Inc, and an advisory representative of a RIA. He also serves as a board member for Pulse Switch Tech/TRCC, managing member of Kingdom Holdings, and owner of My Purpose Plan LLC and My Purpose Plan. Furthermore, Michael is an agent for Lafayette Life Insurance Company and Canada Life Insurance, dedicating about a quarter of his time to each.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2011 - Present · 14 yrs 8 mos
Cambridge Investment Research, INC.
November 2011 - Present · 14 yrs 8 mos
Cambridge Investment Research, INC.Broker
November 2011 - Present · 14 yrs 8 mos
Previous Registrations
Sanders Morris Harris INC.Broker
November 2008 - November 2011 · 3 yrs
Sanders Morris Harris INC.
November 2008 - November 2011 · 3 yrs
Qa3 Financial LLC
December 2005 - October 2008 · 2 yrs 10 mos
Qa3 Financial CORP.Broker
December 2005 - October 2008 · 2 yrs 10 mos
Capital Investment Advisors
April 2000 - December 2005 · 5 yrs 8 mos
National Planning CorporationBroker
April 1999 - November 2005 · 6 yrs 7 mos
Centennial Capital Management, INC.Broker
September 1997 - May 1999 · 1 yr 8 mos
Cadaret, Grant & CO., INC.Broker
January 1995 - September 1997 · 2 yrs 8 mos
Canada Life of America Financial Services, INC.Broker
December 1994 - December 1997 · 3 yrs
State Registrations1 state
VA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.