DK
David L. Kaiser
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Cotopaxi, CO
Some features on this profile are disabled
CRD#: 2461995
DK
Professional summary
David Lloyd Kaiser, AIF®, who also goes by Dave Kaiser, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cotopaxi, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Denver, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Kaiser
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)PINNACOR FINANCIAL GROUP INC, 3801 E FLORIDA ave, ste 400, denver, co, 10/2000 AS PRESIDENT/AGENT SELLING/SERVICING HEALTH & LIFE PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. 5 HR/MO - 2.5/TRADING.
2)pinnacor financial group inc, 3801 E FLORIDA ave, ste 400, denver, co, 1/2006 as president of tax prep s-corp. nir - 20 hr/yr - 0/trading.
3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/2008 AS ADVISORY REP OF A RIA. INV REL - 35 HR/WK - 25/TRADING.
4)owner of residential rental property, 6966 SKUNK ALLEY, EVERGREEN, CO 80439 ; BEGAN 08/01/2014 ; NOT INVESTMENT RELATED ; DEVOTES 1-2 HRS/WK ; NONE DURING TRADING HOURS.
5.FINANCIAL PLANNING ALTERNATIVES LLC, 3801 E FLORIDA AVE STE 400, DENVER, CO, 1/2018 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/WK - 3/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view David Lloyd Kaiser'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
December 18, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Cotopaxi, CO
Current
December 18, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 501 S. Cherry St. Suite 1100, Denver, CO 80246BD
CRD#: 39543
Denver, CO
Past
January 12, 2001 - March 15, 2010
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DENVER, CO
Past
December 6, 2000 - December 19, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DENVER, CO
Past
February 22, 1999 - February 13, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 2, 1994 - February 23, 1999
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Alabama(1/3/2023)
RR
Arizona(1/2/2009)
RR
California(1/2/2009)
RR
Colorado(12/18/2008)
IAR
Colorado(12/18/2008)
RR
Connecticut(1/2/2009)
RR
District of Columbia(2/15/2013)
RR
Florida(10/24/2011)
RR
Georgia(11/5/2014)
RR
Idaho(6/1/2021)
RR
Illinois(1/2/2009)
RR
Indiana(2/2/2023)
RR
Iowa(1/2/2024)
RR
Kansas(1/2/2009)
RR
Kentucky(2/2/2022)
RR
Louisiana(9/17/2025)
RR
Massachusetts(6/3/2014)
RR
Michigan(2/18/2010)
RR
Minnesota(1/2/2009)
RR
Mississippi(1/4/2016)
RR
Missouri(11/5/2014)
RR
Montana(1/27/2011)
RR
Nebraska(5/4/2016)
RR
Nevada(1/3/2022)
RR
New Mexico(7/2/2010)
RR
New York(9/12/2018)
RR
North Carolina(11/7/2014)
RR
North Dakota(6/8/2015)
RR
Ohio(11/6/2014)
RR
Oklahoma(3/19/2018)
RR
Pennsylvania(1/2/2009)
RR
South Carolina(11/5/2014)
RR
South Dakota(1/2/2009)
RR
Tennessee(1/7/2022)
RR
Texas(9/18/2025)
IAR
Texas(9/18/2025)
RR
Utah(1/27/2011)
RR
Vermont(10/18/2024)
RR
Virginia(1/2/2009)
RR
Washington(10/29/2013)
RR
West Virginia(1/3/2023)
RR
Wisconsin(12/18/2008)
RR
Wyoming(1/2/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product 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
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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
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.
