DS
Dennis M. Spratt
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Lawrence, KS 66047
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CRD#: 1058689
DS
Professional summary
Dennis Michael Spratt is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lawrence, Kansas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lawrence, Kansas.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Dennis has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
1) DENNIS M SPRATT, 5017 KEYSTONE CT, LAWRENCE, KS, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 07/01/82, INV REL, 2/WK- 1/TRADING
2) JUNIOR ACHIEVEMENT OF LAWRENCE, PO BOX 1081, LAWRENCE, KS, BOARD MEMBER OF A NON-PUBLIC ENTITY, 07/01/20, NIR, 3/MO- 0/TRADING
3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 11/06/20
4) WEALTH MANAGEMENT GROUP OF KC, INC, 10851 MASTIN BLVD, STE 120, OVERLAND PARK, KS, DBA VICE PRESIDENT, 09/02/02, INV REL, 0 HR/WK- 0/TRADING HRS,
5)SMOKY HILL FARMS, LLC, 5017 KEYSTONE CT, LAWRENCE KS, TRUSTEE/OWNER FARM- 08/01/16, NIR, 2 HR/MO- 0/TRADING HR
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Spratt's 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®
NoneExperience
Current
November 6, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1201 Wakarusa Avenue Suite C4, Lawrence, KS 66047Office #2: 10851 Mastin Blvd. Ste. 120, Overland Park, KS 66210RIA
CRD#: 134139
Lawrence, KS
Current
November 6, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1201 Wakarusa Avenue, Suite C4 , Lawrence, KS 66047Office #2: 10851 Mastin Blvd. Ste. 120, Overland Park, KS 66210BD
CRD#: 39543
Lawrence, KS
Past
July 1, 2010 - March 31, 2011
WEALTH MANAGEMENT GROUP OF KC, INC.
RIA
CRD#: 115884
OVERLAND PARK, KS
Past
September 1, 2009 - November 10, 2020
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
OVERLAND PARK, KS
Past
September 1, 2009 - November 10, 2020
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
OVERLAND PARK, KS
Past
December 11, 1997 - September 1, 2009
OSAIC WEALTH, INC.
RIA
CRD#: 23131
OVERLAND PARK, KS
Past
August 15, 1996 - December 31, 2008
SPRATT WEALTH MANAGEMENT GROUP, INC.
RIA
CRD#: 115915
OVERLAND PARK, KS
Past
March 25, 1996 - September 1, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
OVERLAND PARK, KS
Past
April 20, 1994 - March 18, 1996
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
September 24, 1992 - February 6, 1995
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
May 20, 1991 - April 1, 1994
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
November 15, 1989 - May 28, 1991
PRIMELINE SECURITIES CORP.
BD
CRD#: 15896
WICHITA, KS
Past
September 28, 1982 - November 16, 1989
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
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.RR
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
RR
Arkansas(11/6/2020)
RR
Colorado(11/6/2020)
RR
Florida(11/6/2020)
RR
Kansas(11/6/2020)
IAR
Kansas(11/6/2020)
RR
Missouri(11/6/2020)
RR
Oklahoma(11/6/2020)
RR
Texas(11/6/2020)
IAR
Texas(11/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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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)
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 | ||
| 04/29/2024 |
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.
