David L. Gabay

CAMBRIDGE INVESTMENT RESEARCH ADVISORS

New Rochelle, NY

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CRD#: 1032946

Professional summary

David Lane Gabay, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in New Rochelle, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in New Rochelle, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Fixed insurance sales; as of 12/20/2023; 5% of time spent during business hours; Conducted at branch location; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lane Gabay's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

October 31, 2025 - Present

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

New Rochelle, NY

Current

October 31, 2025 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

New Rochelle, NY

Past

February 9, 2024 - October 4, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Tarrytown, NY

Past

February 9, 2024 - October 4, 2024

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Tarrytown, NY

Past

October 3, 2016 - February 12, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

TARRYTOWN, NY

Past

October 3, 2016 - February 12, 2024

CETERA ADVISORS LLC

CRD#: 10299

TARRYTOWN, NY

Past

November 19, 2009 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

TARRYTOWN, NY

Past

January 30, 2006 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

TARRYTOWN, NY

Past

June 24, 2005 - February 2, 2006

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

June 12, 2000 - June 24, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

February 14, 1997 - June 2, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 9, 1989 - March 19, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

July 14, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

CRD#: 11176

Past

March 12, 1982 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

March 12, 1982 - January 30, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

March 12, 1982 - January 30, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/31/2025)

Connecticut
(11/7/2025)

IAR

New York
(10/31/2025)

New York
(11/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/23/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David L. Gabay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lane Gabay's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

FIRST ALLIED SECURITIES, INC.

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 22

Date: 3/23/1984

Series 6

Date: 2/26/1982

FINRA

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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