David M. Nelson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Burlington, IA 52601
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CRD#: 2120855
Professional summary
David Michael Nelson, CFP®, ChFC®, CLU® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Burlington, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Clinton, Iowa.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 6 and Series 24 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) DAVID NELSON, INDEPENDENT INSURANCE AGENT, 880 13TH AVE N, CLINTON, IA, 3/01/2011 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5 HR/YR - 0/TRADING. 2) FINANCIAL PLANNING ASSOCIATION, 4100 E MISSISSIPPI AVE, DENVER, CO, MEMBER, 01/01/04, NIR, 0 HR/WK- 0/TRADING HR. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 03/01/11 4) SOCIETY OF FINANCIAL SERVICE PROFESSIONALS, 19 CAMPUS BLVD, NEWTON SQUARE, PA, 01/01/04. NIR, MEMBER, 0 HOURS WEEKLY. 0 DURING TRADING. 5) NELSONCORP WEALTH MANAGEMENT, 880 13TH AVE N, CLINTON, IA 52732. PRESIDENT AND CEO SINCE 01/01/87. WORKS 50 HOURS PER WEEK 40 OF WHICH ARE SPENT DURING TRADING HOURS. 6) NELSOND, LLC, 880 13TH AVE, N, CLINTON, IA, RENTAL INCOME- OWNER, 06/01/97, NIR, 2 HR/MO- 0/TRADING HR. 7) NELSONC, LLC, 880 13TH AVE N, CLINTON, IA , PRESIDENT/CEO SINCE 7/6/06, 2 HOURS PER MONTH, NONE DURING TRADING, THE LLC WAS FORMED FOR ADMINISTRATIVE PURPOSES FOR BUILDING NECESSITIES. 8) NELSONCORP TAX SOLUTIONS LLC, 880 13TH AVE N, CLINTON, IA, 8/19/2016 AS OWNER OF TAX PREP BUSINESS. NIR - 1 HR/MO - 0/TRADING. 9) NELSON TREE FARM, 3440 ALLIE LANE, CLINTON, IA, 6/04/2018 AS OWNER OF TREE FARM. NIR - 20/MO - 0/TRADING. 10) BETTER BUSINESS BUREAU, 4200 WILSON BLVD, ARLINGTON, VA, MEMBER, 01/01/82, NIR, 0 HR/WK- 0/TRADING HR. 11) NELSOND,LLC, 5465 Utica Ridge Rd, Davenport IA 52807, United States, 02/01/2022, President & CEO, Owner/Partner of a Business Entity, NIR, 2 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Nelson'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: 1994
Experience
Current
March 1, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1514 Mount Pleasant St, Burlington, IA 52601Office #2: 880 13th Ave N, Clinton, IA 52732Office #3: 5465 Utica Ridge Road, Davenport, IA 52807RIA
CRD#: 134139
Burlington, IA
Current
March 1, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 880 13th Ave N, Clinton, IA 52732Office #2: 5465 Utica Ridge Road, Davenport, IA 52807Office #3: 9079 E Tamarack Dr, Dubuque, IA 52003BD
CRD#: 39543
Clinton, IA
Past
January 1, 1999 - March 14, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLINTON, IA
Past
December 4, 1997 - March 14, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
CLINTON, IA
Past
January 27, 1994 - December 22, 1997
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 15, 1991 - February 9, 1994
HEARTLAND INVESTMENT ASSOCIATES, INC.
BD
CRD#: 26974
HIAWATHA, IA
Past
February 25, 1991 - April 19, 1991
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
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(3/1/2011)
RR
Arkansas(1/2/2025)
RR
California(4/16/2013)
RR
Colorado(3/1/2011)
RR
Connecticut(9/13/2023)
RR
Florida(3/1/2011)
RR
Georgia(10/17/2012)
RR
Illinois(3/1/2011)
RR
Indiana(3/1/2011)
RR
Iowa(3/1/2011)
IAR
Iowa(3/1/2011)
RR
Maine(3/27/2019)
RR
Michigan(3/1/2011)
RR
Minnesota(3/1/2011)
RR
Missouri(3/1/2011)
RR
New Jersey(3/14/2016)
RR
New York(10/1/2015)
RR
North Carolina(3/1/2011)
RR
South Dakota(3/1/2011)
RR
Tennessee(7/19/2018)
RR
Texas(3/1/2011)
IAR
Texas(3/1/2011)
RR
Utah(3/1/2011)
RR
Wisconsin(3/1/2011)
RR
Wyoming(10/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product 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
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#: 134139Burlington, IA 52601TRUST BUT VERIFY
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