DA
Douglas E. Allen
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Grinnell, IA 50112
Some features on this profile are disabled
CRD#: 1492192
DA
Professional summary
Douglas Eugene Allen, CFP®, who also goes by Douglas E Allen, Douglas Eugene Allen, Doug Allen, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Grinnell, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Grinnell, Iowa.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas E Allen | Douglas Eugene Allen | Doug Allen
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) DOUGLAS ALLEN, 827 STAGECOACH ROAD GINNELL IA, 07/997, OWNER, AGRICULTURE, NIR, 1 HR/MO 0 HR/MO TRADING 2) PRESSURE TESTING SOLUTIONS, 31065 BEAVER VALLEY ST NEW HARTFORD IA, 09/2020, OWNER, AGRICULTURE, NIR, 0 HR/MO 0 HR/MO TRADING 3) BK PROPERTIES, 801 4TH AVE GRINNELL IA, 02/13/2004, PRESIDENT, REAL ESTATE, NIR, 1 HR/MO 0 HR/MO TRADING 4) ALLEN FINANCIAL, 801 4TH AVE GRINNELL IA, 02/01/2002, PRESIDENT, DBA, INV REL, 2 HR/MO 0 HR/MO TRADING 5) DOUGLAS ALLEN, 801 4TH AVE GRINNELL IA, 02/2002, INSURANCE AGENT, INV REL, 2 HR/MO 2 HR TRADING 6) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2023, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 7) STRETCH ZONE CR LLC>, 5235 BUFFALO RIDGE DRIVE NE CEDAR RAPIDS IA, 10/2024, OWNER, SPORT/FITNESS/GAMING, NIR, 2 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Eugene Allen'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: 1993
Experience
Current
January 3, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 801 4th Ave, Grinnell, IA 50112RIA
CRD#: 134139
Grinnell, IA
Current
January 3, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 801 4th Ave, Grinnell, IA 50112BD
CRD#: 39543
Grinnell, IA
Past
February 23, 2022 - December 31, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GRINNELL, IA
Past
February 23, 2022 - December 31, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
GRINNELL, IA
Past
September 27, 2017 - March 7, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Grinnell, IA
Past
September 27, 2017 - March 7, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Grinnell, IA
Past
July 11, 2012 - September 27, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
GRINNELL, IA
Past
July 11, 2012 - September 27, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
GRINNELL, IA
Past
February 28, 2002 - July 26, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRINNELL, IA
Past
February 15, 2002 - July 26, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
GRINNELL, IA
Past
March 8, 1999 - March 12, 2002
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
February 12, 1999 - March 8, 1999
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Past
April 29, 1992 - March 15, 1999
STANTON INVESTMENT SERVICES, INC.
BD
CRD#: 29462
PLYMOUTH, MN
Past
February 27, 1991 - May 4, 1992
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
April 25, 1986 - January 4, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(1/3/2023)
RR
Colorado(1/11/2023)
RR
Florida(1/3/2023)
RR
Iowa(1/3/2023)
IAR
Iowa(1/3/2023)
RR
Massachusetts(1/2/2025)
RR
Missouri(1/3/2023)
RR
Nebraska(1/3/2023)
RR
Texas(1/3/2023)
IAR
Texas(1/3/2023)
RR
Wisconsin(1/3/2023)
Exams
State Security Law Exam
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
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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#: 134139Grinnell, IA 50112TRUST BUT VERIFY
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