Daniel C. Conkling
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.
Daniel Charles Conkling, who also goes by Dan Conkling, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 9 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 31, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2018 - December 31, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 24, 2007 - November 27, 2017
NATIONAL PLANNING CORPORATION
November 11, 2005 - November 27, 2017
NATIONAL PLANNING CORPORATION
October 31, 2005 - November 7, 2005
OSAIC SERVICES, INC.
January 14, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 4, 1999 - December 31, 2001
MEDALLION INVESTMENT SERVICES, INC.
September 20, 1996 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
January 1, 1996 - September 26, 1996
IFG NETWORK SECURITIES, INC.
November 22, 1993 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, 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
Current 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.
