DN
Douglas C. Norberg
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Concord, MA 01742
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CRD#: 2368156
DN
Professional summary
Douglas Charles Norberg, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Concord, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Concord, Massachusetts.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 6 firms and has passed the Series 65, Series 63, 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. AEGIS RETIREMENT PARTNERS LLC, 12 Pond Lane, Damon mill Suite EB 2-S, Concord MA 01742, United States, 01/13/2017, Owner, TPA/Pension Services, INV REL - 80/MO - 80/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3. INDEPENDENT INSURANCE AGENT, 86 BAKER AVE EXTENSION, STE 309, CONCORD, MA, 2/2017 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/YR - 10/TRADING. 4. TBD 86 BAKER AVE EXTENSION, STE 309, CONCORD, MA, REAL ESTATE, LLC., PARTNER, NIR, 2/MO- 0/TRADING 5. 676 ELM STREET, LLC., 12 Pond Lane, Damonmill Suite EB S-2, Concord MA 01742, United States, 11/08/19, Owner, NIR, 2/MO- 0/TRADING 6. IA REALTY GROUP, LLC, 1 Pond Lane, EB-2 N&S, Concord MA 01742, United States, 09/10/2024, Owner, Real Estate, NIR, 1/MO- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Charles Norberg'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®
Experience
Current
January 20, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 12 Pond Lane, Suite Eb S-2, Concord, MA 01742RIA
CRD#: 134139
Concord, MA
Current
January 19, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 12 Pond Lane, Suite Eb S-2, Concord, MA 01742BD
CRD#: 39543
Concord, MA
Past
September 2, 2011 - January 5, 2017
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
BURLINGTON, MA
Past
August 31, 2011 - January 5, 2017
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
BURLINGTON, MA
Past
September 5, 2002 - September 7, 2011
OGILVIE SECURITY ADVISORS CORPORATION
RIA
CRD#: 10105
BURLINGTON, MA
Past
February 24, 2000 - September 7, 2011
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
BURLINGTON, MA
Past
January 13, 1998 - March 6, 2000
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
August 23, 1993 - July 29, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
California(1/19/2017)
RR
Florida(1/3/2022)
RR
Georgia(6/17/2022)
RR
Maine(4/21/2021)
RR
Massachusetts(1/19/2017)
IAR
Massachusetts(1/24/2017)
RR
New Hampshire(1/19/2017)
RR
New Jersey(1/2/2018)
RR
New York(1/19/2017)
RR
Pennsylvania(1/19/2017)
RR
Rhode Island(1/19/2017)
RR
South Carolina(1/19/2017)
RR
Vermont(1/19/2017)
RR
Virginia(3/12/2020)
RR
Wisconsin(8/22/2023)
Exams
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Concord, MA 01742TRUST BUT VERIFY
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