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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

Michael Griffin

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Richmond, VA

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Search this name across graphsid dfx:ria:b988a3c7-e05f-1b72-812c-ba16a5862246

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 2, 1987
First registration: Aug 10, 2001
Dual registered: yes, broker-dealer
Other names: MICHAEL ANTHONY GRIFFIN|MIKE GRIFFIN
IAPD individual key: 1559004

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Dec 14, 2021	n/a	yes	Richmond, VA\|Richmond, VA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Feb 8, 2018	Dec 15, 2021	no	GLEN ALLEN, VA\|GLEN ALLEN, VA\|Richmond, VA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Feb 6, 2018	no	RICHMOND, VA\|CHARLOTTE, NC	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Sep 4, 2009	May 13, 2016	no	RICHMOND, VA\|CHARLOTTE, NC	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, INC.	n/a	Aug 10, 2001	Sep 4, 2009	no	RICHMOND, VA\|RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 15, 2021	Dec 14, 2021	-1	Firm change	Ibd to ibd
SIGNATOR INVESTORS, INC.	PRUCO SECURITIES, LLC	Feb 6, 2018	Feb 8, 2018	2	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	0	Bulk transfer	Other
TRANSAMERICA FINANCIAL ADVISORS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Sep 4, 2009	Sep 4, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Dec 14, 2021 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Feb 8, 2018 to Dec 15, 2021factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Feb 6, 2018factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 4, 2009 to May 13, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 10, 2001 to Sep 4, 2009factForm ADV

Dated events

No dated event names this entity yet.