John David Harper JR | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John David Harper JR, who also goes by David Harper Jr., was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

David Harper Jr.

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. ATLANTA PROJECT YOUTH PROGRAM INC, 3715 NORTHSIDE PKWY, ATLANTA, GA, 11/2019, BOARD MEMBER - PROVIDE AWARENESS OF PROGRAM. NIR - 1/MO-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 10/28/19. 3. YOUNG LIFE NORTH AFRICA, MIDDLE EAST AND ATLANTA, PO BOX 520, COLORADO SPRINGS, CO FUNDRAISING FOR MINISTRY, CHAIRMAN, 10/01/19, NIR, 2/WK- 2/TRADING 4. HARPER FINANCIAL GROUP,LLC, 1780 DOGWOOD DRIVE, CUMMING, GA, ORGANIZATIONAL DEVELOPMENT CONSULTING, MANAGING PARTNER, 01/02/95, NIR, 4/WK- 4/TRADING 5. LEGACY EXECUTIVE BENEFITS, LLC, DBA LEGACY ADVISORY PARTNERS, 11175 CICERO DRIVE, STE 100, ALPHARETTA, GA, CEO, CONSULTING FOR QUALIFIED AND NONQUALIFIED CLIENTS, TRANSITION PLANNING, KEY RETENTION, 01/01/19, NIR, 40/WK- 8/TRADING

Blog Corner

CRS (Client Relationship Summary)

September 13, 1984 - March 10, 2010

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

DULUTH, GA

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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI

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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Firm Stability Insights

John D. Harper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

RETIREMENT CAPITAL GROUP SECURITIES, INC.

RETIREMENT CAPITAL GROUP SOUTHEAST

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/1997

Series 63

Date: 9/12/1984

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1994

Series 22

Date: 8/13/1985

Series 6

Date: 9/12/1984

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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