Richard D. Havican
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.
Richard Davis Havican, CFP®, who also goes by Dick D Havican, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
April 16, 2013 - June 18, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 18, 2006 - December 31, 2006
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 4, 2004 - June 18, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 13, 2002 - May 6, 2004
COMMONWEALTH FINANCIAL NETWORK
August 9, 2002 - May 6, 2004
COMMONWEALTH FINANCIAL NETWORK
August 2, 1995 - August 16, 2002
LPL FINANCIAL LLC
September 22, 1992 - August 8, 1995
OSAIC FS, INC.
July 17, 1989 - September 24, 1992
INVESTACORP, INC.
December 12, 1985 - July 29, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 9, 1983 - July 11, 1988
MONARCH SECURITIES, INC.
March 17, 1981 - November 29, 1985
CARDELL & ASSOCIATES, INCORPORATED
June 2, 1980 - April 9, 1981
VOYA FINANCIAL ADVISORS, INC.
March 23, 1978 - July 3, 1980
PROVIDENT MARKETING CORPORATION
July 30, 1976 - April 20, 1978
SECURITIES MANAGEMENT & RESEARCH, INC.
November 12, 1975 - December 10, 1975
SUN EQUITIES INCORPORATED
January 8, 1974 - February 10, 1975
GENERAL AMERICAN LIFE INSURANCE COMPANY
September 26, 1972 - January 12, 1974
INDEPENDENT FINANCIAL PLANNERS CORPORATION
October 9, 1969 - March 13, 1985
TRANSAMERICA FINANCIAL ADVISORS, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/10/1971
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.
