DR
David M. Rivlin
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Owings Mills, MD 21117
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CRD#: 2530101
DR
Professional summary
David Mitchell Rivlin is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Owings Mills, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Owings Mills, Maryland.
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 5 firms and has passed the Series 63, Series 65, 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) CIRA, IAR since 12/1/16, 35 hours weekly, 5 hours during trading. 2) Insurance agent, David M Rivlin, 300 Redland Court, Ste 212, Owings Mills, MD 21117, Agent since 12/1/16, 5 hours monthly, 1 hour during trading. 3) The Heyman Family Trust, 300 Redland Court, Ste 212, Owings Mills, MD 21117, trustee sinde 12/1/16, 4 hours monthly, 1 hour during trading. 4) The Abraham & Rebecca Heyman Foundation, Inc., Chairman and Treasurer since 12/1/16, 5 hours yearly, no hours during trading. 5)The Rivlin Group, PC, 300 Redland Court, Ste 212, Owings Mills, MD 21117, owner/CPA since 12/1/16, investment related, 40 hours weekly, 8 hours during trading. 6.EMMASSON, 1320 ELLSWORTH INDUSTRIAL BLVD NW C-100, ATLANTA, GA, 6/2017 AS BOARD MEMBER . INV REL - 25/WK - 5/TRADING. 7.CONNECT MARYLAND INV, 300 REDLAND CT, STE 212, OWINGS MILLS, MD, 12/2016 AS SECRETARY/TREASURER. NIR - 5/YR - 0/TRADING. 8.CANCER CURE MED LLC, 300 REDLAND CT STE 212, OWINGS MILLS, MD, 12/2016 AS PASSIVE OWNER/REGISTERED AGENT. LLC PLANS TO RESEARCH, DEVELOP, MARKET, & DISTRIBUTE THERAPEUTIC MEDICINES FOR THE TREATMENT OF CANCER. NIR - 1/YR - 0/TRADING. 9.TRUSTEE FOR IRREVOCABLE TRUST FBO ERIK O., OWNINGS MILLS, MD, 12/2016. INV REL - 2/YR - 0/TRADING. 10.TRUSTEE FOR IRREVOCABLE TRUST FBO HEATHER O., OWNINGS MILLS, MD, 12/2016. INV REL - 2/YR - 0/TRADING. 11.TRUSTEE FOR 2010 DAVID O. INSURANCE TRUST AGREEMENT, OWNINGS MILLS, MD, 12/2016. INV REL - 1/YR - 0/TRADING. 12.SIMPLEX TRADING COMPANY, 702 W LAKE AVE, BALTIMORE, MD, 12/2016 AS SECRETARY OF BUSINESS. PREPARES TAX RETURN FOR COMPANY. INV REL - 4/YR - 0/TRADING. 13.THE MOSAIC GROUP, INC, 702 WEST LAKE AVE, BALTIMORE, MD, CPA/ENROLLED AGENT/TAX PREP/ACCOUNTING SERVICES, 05/08/20, NIR, 2/WK- 2/TRADING 14.PIKESVILLE HIGH SCHOOL MUSIC BOOSTERS, 7621 Labyrinth Road, Pikesville MD 21208-4411, United States, 01/01/1999, Resident Agent, Administrative, NIR, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view David Mitchell Rivlin'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
December 5, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 300 Redland Court Ste 212, Owings Mills, MD 21117RIA
CRD#: 134139
Owings Mills, MD
Current
December 5, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 300 Redland Court Ste 212, Owings Mills, MD 21117BD
CRD#: 39543
Owings Mills, MD
Past
December 15, 2010 - January 20, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
PIKESVILLE, MD
Past
December 15, 2010 - January 20, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PIKESVILLE, MD
Past
January 30, 2006 - December 21, 2010
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
OWINGS MILLS, MD
Past
November 30, 1994 - December 21, 2010
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
OWINGS MILLS, MD
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
Maryland(12/5/2016)
IAR
Maryland(12/5/2016)
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
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.
