DM
Daniel E. Mckelvey
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Grafton,, WI 53024
Some features on this profile are disabled
CRD#: 2204783
DM
Professional summary
Daniel Edward Mckelvey is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Grafton,, Wisconsin and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Grafton, Wisconsin.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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. UNITED LIFE INSURANCE COMPANY, 118 2ND AVE SE, CEDAR RAPIDS, IA, 3/2018, AS INSURANCE AGENT, INVREL, 2HRS/MO, 2HRS/TRADING. 2. SDM LLC, 1019 CEDAR ST, GRAFTON, WI, 10/2001 AS PART-OWNER OF LLC TO OWN/MANAGE OFFICE BUILDING. NIR - 0 HRS. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4. GRAFTON LIONS CLUB, 1540 13th Ave, Grafton WI 53024, 11/2022, Board member, Civic Organization, NIR, 1 HR/MO - 0 HR/MO Trading. 5. ASH BROKERAGE, Grafton WI 53024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 2 HR/MO - 2 HR/MO Trading 6. DSM, INC, 1283 Trail Way Ct, Grafton WI 53024, 04/10/2001, Owner, DSM, Inc is a "flow-through" S-corp that is used to pay business expenses, NIR, 0 HR/MO, 0 HR/MO TRADING. 7. INVESTMENT CENTER OF GRAFTON, 1019 Cedar St, Grafton WI 53024, United States, 10/01/2001, Owner, Using a Trade Name/dba, INV REL, 160HR/MO - 6HR/MO TRADING 8. GRAFTON CHAMBER OF COMMERCE, 1624 Wisconsin Ave, Grafton WI 53024, United States, 11/12/2024, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2HR/MO - 2 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Edward Mckelvey'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
October 23, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1019 Cedar St, Grafton,, WI 53024RIA
CRD#: 134139
Grafton,, WI
Current
October 23, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1019 Cedar St., Grafton, WI 53024BD
CRD#: 39543
Grafton, WI
Past
June 15, 2009 - October 23, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
GRAFTON, WI
Past
June 15, 2009 - October 23, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
GRAFTON, WI
Past
April 21, 2006 - June 15, 2009
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
GRAFTON, WI
Past
April 19, 2006 - June 15, 2009
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
GRAFTON, WI
Past
July 3, 2003 - July 3, 2003
EAGLE ONE INVESTMENTS, LLC
RIA
CRD#: 45254
GRAFTON, WI
Past
September 3, 1999 - April 18, 2006
EAGLE ONE INVESTMENTS, LLC
BD
CRD#: 45254
WASHINGTON, IA
Past
January 22, 1992 - September 3, 1999
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
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(1/2/2019)
RR
California(1/3/2019)
RR
Colorado(10/23/2017)
RR
Florida(10/23/2017)
RR
Georgia(5/1/2024)
RR
Idaho(1/3/2019)
RR
Illinois(10/23/2017)
RR
Michigan(10/23/2017)
RR
Minnesota(10/23/2017)
RR
Montana(11/5/2019)
RR
Nevada(1/2/2019)
RR
North Dakota(10/23/2017)
RR
Oklahoma(11/4/2021)
RR
Oregon(1/2/2025)
RR
Texas(8/3/2018)
IAR
Texas(8/6/2018)
RR
Washington(1/3/2019)
RR
Wisconsin(10/23/2017)
IAR
Wisconsin(10/23/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 134139Grafton,, WI 53024TRUST BUT VERIFY
Monitor Daniel Mckelvey
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
