DG
Dwight W. Galda
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Scottsdale, AZ
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CRD#: 1099936
DG
Professional summary
Dwight William Galda is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Scottsdale, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Scottsdale, Arizona.
Dwight is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Dwight has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 6, Series 24 and Series 26 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 8/2008 AS ADVISORY REP OF A RIA. INV REL - 35 HR/WK - 6/TRADING DAY. 2) INDEPENDENT INSURANCE AGENT FOR FIXED INSURANCE PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES, 2415 E CAMELBACK RD, STE 700, PHOENIX, AZ, 9/2008. INV REL - 3 HR/WK - 3/TRADING. 3) OSJ DESIGNATE PIVOTAL FINANCIAL ADVISORS, 6300 Ridglea Place, Ste. 801, Fort Worth TX 76116, United States, 06/20/2017, W2 Employee, Administrative, NIR, 65 HR/MO - 35 HR/MO TRADING 4) CRESCENT WEALTH COUNSEL, 25150 North Windy Walk Drive, Unit 15, Scottsdale AZ 85255, United States, 08/20/2008, IAR, DBA Name, INV REL, 240 HR/MO - 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Dwight William Galda'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
August 4, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Scottsdale, AZ
Current
August 4, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Scottsdale, AZ
Past
May 16, 2006 - August 4, 2008
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
SCOTTSDALE, AZ
Past
May 16, 2006 - August 4, 2008
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
July 22, 2004 - June 5, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 26, 2004 - June 25, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
March 4, 1983 - July 10, 1996
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
FORT WORTH, TX
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
Arizona(8/4/2008)
IAR
Arizona(8/21/2008)
RR
California(8/4/2008)
RR
Colorado(2/10/2014)
RR
Florida(3/31/2010)
RR
Georgia(2/11/2009)
RR
Idaho(11/25/2020)
RR
Maryland(5/3/2024)
RR
Michigan(11/30/2016)
RR
Minnesota(9/8/2020)
RR
New Jersey(8/16/2021)
RR
Ohio(2/6/2025)
RR
Pennsylvania(8/4/2008)
RR
South Carolina(6/29/2020)
RR
Texas(8/4/2008)
IAR
Texas(8/4/2008)
RR
Utah(4/2/2020)
RR
Vermont(8/4/2008)
RR
Washington(2/7/2014)
RR
Wisconsin(6/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
