DG
Dean M. Giella
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Melville, NY 11747
Some features on this profile are disabled
CRD#: 1420362
DG
Professional summary
Dean Michael Giella, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Melville, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Melville, New York.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Dean has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Long-term Care
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Elder Care
Insurance Planning
Education Planning
Estate Planning
Investment Planning
Retirement Planning
Social Security Planning
Budgeting
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)DEAN M. GIELLA, LICENSED INSURANCE AGENT, 445 Broadhollow Rd, Suite 108, Huntington Station NY 11747, United States, 6/01/1985, Agent, Insurance/Benefits/Human Resources, INV REL - 5 HR/MO - 0/TRADING. 2)GS INVESTMENT PLANNING LLC, 445 Broadhollow Rd, Suite 108, Melville NY 11747, United States, 9/01/2018, Using a Trade Name/dba, Owner, INV REL - 40 HR/MO - 40/TRADING. 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 5/2013 AS ADVISORY REP OF A RIA. INV REL - 35 HR/WK - 35/TRADING. 05/22/13
CRS (Client Relationship Summary) - RIA
Click below to view Dean Michael Giella'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®
CFP®
Start date: 2001
Experience
Current
January 5, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 445 Broadhollow Rd. Ste. 108, Melville, NY 11747RIA
CRD#: 134139
Melville, NY
Current
May 23, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 445 Broadhollow Rd. Ste. 108, Melville, NY 11747BD
CRD#: 39543
Melville, NY
Past
March 31, 2010 - June 6, 2011
APW CAPITAL, INC.
BD
CRD#: 43814
ROCKAWAY, NJ
Past
October 10, 2000 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
JERICHO, NY
Past
September 4, 1996 - October 6, 2000
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
January 1, 1994 - September 5, 1996
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
May 28, 1992 - January 1, 1994
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
Past
April 26, 1990 - July 25, 1990
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
April 5, 1988 - May 10, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
August 6, 1986 - May 29, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
October 18, 1985 - April 15, 1986
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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(9/6/2023)
RR
California(8/1/2016)
RR
Connecticut(5/23/2013)
RR
Florida(5/23/2013)
RR
Georgia(5/23/2013)
RR
New Jersey(8/1/2016)
RR
New York(5/23/2013)
IAR
New York(4/9/2021)
RR
Texas(1/4/2017)
IAR
Texas(1/5/2017)
RR
Virginia(8/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Melville, NY 11747TRUST BUT VERIFY
Monitor Dean Giella
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
