DM
Dennis W. Mumford
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Belmont, NC
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CRD#: 1550540
DM
Professional summary
Dennis Wayne Mumford, who also goes by Dennis W Mumford, Dennis Mumford, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Belmont, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Charlotte, North Carolina.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dennis has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis W Mumford | Dennis Mumford
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) WAYNE FINANCIAL GROUP, INC. - INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CORE MAX ADVISORS LLC, 5970 FAIRVIEW RD STE 615, CHARLOTTE, NC, 4/2014 AS MANAGING MEMBER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 50/WK - 50/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 4) ADVISORS ON CALL, LLC, 2916 Glen Summit Drive, Charlotte NC 28270, 01/15/2024, Managing Member, Using a Trade Name/dba, INV REL, 15 HR/MO, 10 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Wayne Mumford'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 31, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Belmont, NC
Current
January 31, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Charlotte, NC
Past
April 14, 2009 - February 11, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CHARLOTTE, NC
Past
April 2, 2009 - February 11, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CHARLOTTE, NC
Past
April 26, 2007 - April 3, 2009
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHARLOTTE, NC
Past
October 24, 2006 - April 3, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHARLOTTE, NC
Past
October 21, 2002 - October 23, 2006
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHARLOTTE, NC
Past
May 19, 2000 - October 25, 2002
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
October 6, 1999 - May 22, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 6, 1999 - May 22, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 19, 1997 - October 21, 1999
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
June 18, 1991 - April 1, 1997
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
February 23, 1989 - July 31, 1990
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 28, 1988 - January 2, 1989
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
Past
May 3, 1988 - November 16, 1988
FOCUS SECURITIES, INC.
BD
CRD#: 15023
Past
December 2, 1986 - May 4, 1988
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
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
Florida(7/10/2015)
RR
North Carolina(1/31/2014)
IAR
North Carolina(1/31/2014)
RR
South Carolina(1/31/2014)
RR
Texas(1/4/2016)
IAR
Texas(1/5/2016)
Exams
State Security Law Exam
State Security Law Exam
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
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.
