DN
Diana M. Navarre
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Laguna Beach, CA
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CRD#: 1750626
DN
Professional summary
Diana Mercedes Navarre is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Laguna Beach, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Laguna Beach, California.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Diana has worked at 6 firms and has passed the Series 66, 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 - 60/WK - 35/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.
2.INDEPENDENT INSURANCE AGENT, 1278 GLENNEYRE ST, 422, LAGUNA BEACH, CA, 7/1987 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 8/MO - 1/TRADING.
3. SUCCESSOR TRUSTEE, LAGUNA BEACH, CA, 08/2019. D.S. TRUST. NIR-0/YR-0/TRADING.
4. DIANA M NAVARRE, 1278 GLENNEYRE STREET, #422, LAGUNA BEACH, CA, SUCCESSOR FIDUCIARY, 09/17/20, NIR, 0/YR- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Diana Mercedes Navarre'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
March 21, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1278 Glenneyre St. #422, Laquna Beach, CA 92651RIA
CRD#: 134139
Laguna Beach, CA
Current
March 21, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1278 Glenneyre St #422, Laguna Beach, CA 92651BD
CRD#: 39543
Laguna Beach, CA
Past
September 4, 2009 - April 14, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LAGUNA BEACH, CA
Past
September 4, 2009 - April 14, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LAGUNA BEACH, CA
Past
January 13, 1999 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
ALISO VIEJO, CA
Past
May 22, 1990 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
May 22, 1990 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
ALISO VIEJO, CA
Past
November 27, 1987 - June 5, 1990
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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(5/15/2024)
RR
California(3/21/2016)
IAR
California(3/22/2016)
RR
Florida(6/27/2024)
RR
Hawaii(3/10/2025)
RR
Idaho(1/2/2025)
RR
Indiana(3/21/2016)
RR
Nevada(3/21/2016)
RR
New York(3/21/2016)
RR
Pennsylvania(9/15/2020)
RR
Texas(3/21/2016)
IAR
Texas(3/21/2016)
RR
Utah(3/21/2016)
Exams
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.
