David W. Pratt
Professional summary
David Walter Pratt is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Rockport, Massachusetts.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Walter Pratt's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 124 Main St. Ste. 2, Rockport, MA 01966May 18, 2018 - August 14, 2019
LION STREET FINANCIAL, LLC
August 28, 2017 - May 18, 2018
FORTUNE FINANCIAL SERVICES, INC.
April 29, 2014 - September 5, 2017
LPL FINANCIAL LLC
February 12, 2013 - May 7, 2014
KESTRA INVESTMENT SERVICES, LLC
October 26, 2006 - August 31, 2012
SOMERSET SECURITIES, INC.
September 19, 2005 - May 23, 2006
OGILVIE SECURITY ADVISORS CORPORATION
October 20, 2003 - September 22, 2005
COMMONWEALTH FINANCIAL NETWORK
December 18, 1995 - October 29, 2003
OSAIC FS, INC.
January 25, 1993 - December 21, 1993
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/14/2019)
Exams
FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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, INC.
CRD#: 39543Rockport, MA 01966TRUST BUT VERIFY
Monitor David Pratt
Get automatic monthly alerts on:
