DK
David B. Karikas
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Sandusky, OH 44870
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CRD#: 1177226
DK
Professional summary
David Brooks Karikas is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Sandusky, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Sandusky, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 7 firms and has passed the 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL, 40 HR/WK 40 HR/TRADING. 01/2017 2) CRUMP LIFE INSURANCE SERVICES, 4135 N FRONT ST HARRISBURG PA, 03/2003 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 1 HR/MO 1 HR/TRADING 3) ASH BROKERAGE CORPORATION, 8515 BLUFFTON RD F WAYNE IN, 03/2000 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 10 HR/YR 5 HR/TRADING 4) LTCI PARTNERS, 1113 S MILWAUKEE AVE STE 300 LIBERTYVILLE IL, 02/2001 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 1 HR/YR 1 HR/TRADING 5) ST PAUL'S EPISCOPAL CHURCH, 798 S COY RD OREGON OH 73616, FINANCIAL SECRETARY, RELIGIOUS, NIR, 2 HR/MO 0 HR/MO TRADING 6) PREFERRED PLANNING ASSOCIATES, 2409 E PERKINS AVE SANDUSKY OH. 08/2024, IAR, DBA, INV REL, 160 HR/MO 130 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view David Brooks Karikas'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
January 3, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2409 E. Perkins Ave, Sandusky, OH 44870RIA
CRD#: 134139
Sandusky, OH
Current
February 18, 2003 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2409 Perkins Ave., Sandusky, OH 44870BD
CRD#: 39543
Sandusky, OH
Past
March 7, 2007 - December 9, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SANDUSKY, OH
Past
September 15, 1997 - February 25, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
January 2, 1991 - September 16, 1997
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
March 7, 1990 - December 31, 1990
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
Past
May 29, 1987 - April 7, 1990
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 16, 1984 - April 7, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Colorado(5/22/2015)
RR
Florida(2/18/2003)
RR
Louisiana(1/2/2024)
RR
Maryland(2/10/2005)
RR
Ohio(2/18/2003)
IAR
Ohio(1/3/2017)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Sandusky, OH 44870TRUST BUT VERIFY
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