DR
Daryl G. Regenauer
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Louisville, KY 40223
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CRD#: 2475061
DR
Professional summary
Daryl Gregory Regenauer is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Louisville, Kentucky and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Louisville, Kentucky.
Daryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Daryl has worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 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) INDEPENDENT INSURANCE AGENT, 9900 CORPORATE CAMPUS, SUITE 3000, LOUISVILLE, KY, 01/1992. FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-1/WK-1/TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) DARYL REGENAUER, 9900 Corporate Campus Drive, Suite 3000, Louisville KY 40223, 01/2020, Agent, Insurance, INV REL, 0 HR/MO - 0 HR/MO Trading. 4) NETTWORTH FINANCIAL GROUP, 9900 Corporate Campus Drive, Suite 3000, Louisville KY 40223, United States, 10/2019, DBA Name, Marketing, INV REL, 10 HR/MO - 5 HR/MO Trading. 5) COMMONWEALTH SCHOOL OF INSURANCE, 9302 New LaGrange Road, Suite G, Louisville KY 40242, 01/2025, INSTRUCTOR, 1099, NIR, 6 HR/MO - 4 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Daryl Gregory Regenauer'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®
NoneExperience
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9900 Corporate Campus Drive Suite 2100, Louisville, KY 40223RIA
CRD#: 134139
Louisville, KY
Current
October 4, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9900 Corporate Campus Drive Suite 3000, Louisville, KY 40223BD
CRD#: 39543
Louisville, KY
Past
April 9, 2018 - October 10, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
LOUISVILLE, KY
Past
April 9, 2018 - October 10, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
LOUISVILLE, KY
Past
October 7, 2011 - April 11, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOUISVILLE, KY
Past
October 6, 2011 - April 11, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOUISVILLE, KY
Past
February 24, 2010 - August 25, 2011
HATTERAS CAPITAL DISTRIBUTORS, LLC
BD
CRD#: 143365
RALEIGH, NC
Past
January 28, 2010 - August 25, 2011
HATTERAS INVESTMENT PARTNERS LLC
RIA
CRD#: 128703
RALEIGH, NC
Past
July 3, 2007 - December 31, 2009
GLOBAL WEALTH ADVANTAGE, LLC
RIA
CRD#: 142971
CHARLOTTE, NC
Past
November 17, 2004 - August 15, 2006
LORING WARD SECURITIES INC.
BD
CRD#: 46337
SAN JOSE, CA
Past
September 1, 2000 - October 20, 2004
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
June 25, 1999 - September 1, 2000
ING FUNDS DISTRIBUTOR, INC.
BD
CRD#: 36461
WILMINGTON, DE
Past
October 20, 1998 - June 23, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
March 13, 1995 - August 31, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
June 17, 1994 - March 15, 1995
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
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(10/10/2019)
RR
Florida(10/7/2019)
RR
Hawaii(4/18/2024)
RR
Indiana(10/10/2019)
IAR
Kentucky(10/4/2019)
RR
Kentucky(10/8/2019)
RR
New Jersey(10/25/2022)
RR
New Mexico(2/9/2024)
RR
New York(8/2/2025)
RR
North Carolina(10/10/2019)
RR
Ohio(1/30/2023)
RR
Oklahoma(10/8/2019)
RR
Pennsylvania(9/1/2023)
RR
South Carolina(10/10/2019)
RR
Texas(10/4/2019)
IAR
Texas(10/4/2019)
RR
Virginia(10/9/2019)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Louisville, KY 40223TRUST BUT VERIFY
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