Daniel R. Fix
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.
Daniel Raymond Fix, who also goes by Dan Fix, Daniel R Fix, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1969. Daniel had worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2008 - October 21, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 1, 2008 - October 21, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 5, 2007 - October 1, 2008
RMIN SECURITIES, INC.
January 8, 1999 - December 31, 2003
CETERA ADVISORS LLC
May 16, 1995 - August 25, 1998
WOODBURY FINANCIAL SERVICES, INC.
January 16, 1995 - September 6, 1995
PENTAD SECURITIES, INC.
January 1, 1992 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
June 9, 1989 - December 6, 1991
OSAIC FS, INC.
December 23, 1988 - January 19, 1989
B.C. CHRISTOPHER SECURITIES CO.
February 20, 1987 - June 17, 1989
THE GREAT-WEST LIFE ASSURANCE COMPANY
January 15, 1987 - December 23, 1988
MORISON SECURITIES, INC.
November 27, 1985 - January 20, 1987
NTB FINANCIAL CORPORATION
October 1, 1984 - December 10, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 10, 1978 - February 9, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 18, 1975 - September 26, 1984
OSAIC FS, INC.
October 3, 1972 - March 10, 1975
PW SECURITIES, INC.
April 3, 1972 - November 16, 1972
ILG SECURITIES CORPORATION
April 1, 1969 - February 22, 1972
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/25/1969
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
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.
