David J. Novick
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Newton, PA 18940
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CRD#: 2686222
Professional summary
David Joseph Novick, CFP®, ChFC®, CLU® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Newton, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Newtown, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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. SHIR AMI SYNAGOGUE MEN'S CLUB, 101 RICHBORO RD, NEWTOWN, PA, 03/2019. BOARD MEMBER OF FINANCE COMMITTEE, BUDGETING AND ASSIST WITH FUNDRAISING. NIR-6/MO-0/TRADING. 2. INDEPENDENT INSURANCE AGENT, 936 CHERRY LN, NEWTOWN, PA, 11/2003 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-6/MO-4/TRADING. 3. COMPREHENSIVE INSURANCE RISK MANAGEMENT LLC, 235 N SYCAMORE ST, NEWTOWN, PA, 9/2019 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 15/MO - 15/TRADING. 4. COMPUTER CONSULTANT, NEWTOWN, PA, 01/2019. SET UP AND SERVICE HARDWARE/SOFTWARE. NIR-25/YR-0/TRADING. 5. RENTAL PROPERTY OWNER, NEWTOWN, PA, 07/2008. NIR-10/MO-0/TRADING. 6. NEW YORK UNIVERSITY, SCHOOL OF PROFESSIONAL STUDIES 11 WEST 42ND ST STE 400, NEW YORK, NY, 02/2007. ADJUNCT INSTRUCTOR OF FINANCE. NIR-20 HR/MO - 0 HR/MO TRADING. 7. CALLE FINANCIAL NETWORK, LLC, 235 North Sycamore Street, Newtown PA 18940, United States, 09/23/2019, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO - 132 HR/MO TRADING 8. CIRA, 1776 PLEASANT PLAIN, FAIRFIELD, IA, ADV REP OF REGISTERED INV ADVISOR, INV REL,IAR, 09/23/19, 20/WK-20/TRADING 9. BUCKS BUSINESS GROUP, Newtown PA 18940, United States, 01/01/2022, Treasurer, Networking, NIR, 3 HR/MO - 0 HR/MO TRADING 10. RIDER UNIVERSITY / 2083 Lawrencevile Road, Lawrenceville NJ 08648 / 01/25/2022 / NIR / ADJUNCT INSTRUCTOR - TEACHING PERSONAL FINANCE PLANNING COURSE / 16 HR/MO - 0 HR/MO TRADING 11. RIDER UNIVERSITY, 2083 Lawrenceville Road, Lawrenceville NJ 08648, United States, 01/25/2022, W2 Employee, Author/Educator/Podcast/Speaker, NIR, 20 HR/MO - 0 HR/MO TRADING 12. SHIR AMI SYNAGOGUE MENS CLUB, 101 Richboro Road, Newtown PA 18940, United States, 03/07/2019, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO - 0 HR/MO TRADING 13. LETIP OF BORDENTOWN, 177 US 130, Bordentown NJ 08505, United States, 06/01/2024, Treasurer, Networking, NIR, 2 HR/MO - 0 HR/MO TRADING 14. BUCKS BUSINESS GROUP, Newtown PA 18940, United States, 01/01/2022, Treasurer, Networking, NIR, 3 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Novick'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®
CFP®
Start date: 1999
Experience
Current
September 23, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 235 North Sycamore St., Newton, PA 18940RIA
CRD#: 134139
Newton, PA
Current
September 23, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 235 North Sycamore Street, Newtown, PA 18940BD
CRD#: 39543
Newtown, PA
Past
September 30, 2011 - September 20, 2019
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
YARDLEY, PA
Past
June 22, 2004 - September 20, 2019
PROMETHEUS CAPITAL MANAGEMENT CORP.
RIA
CRD#: 121982
YARDLEY, PA
Past
November 26, 2003 - October 12, 2011
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
YARDLEY, PA
Past
July 29, 2003 - November 11, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 26, 2002 - June 16, 2003
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MARLTON, NJ
Past
April 3, 2001 - June 16, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 3, 2001 - June 16, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 17, 1999 - December 22, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
April 3, 1997 - August 27, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 20, 1996 - February 4, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 20, 1996 - February 4, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(9/23/2019)
RR
Colorado(9/23/2019)
RR
Florida(9/23/2019)
RR
Maryland(9/23/2019)
RR
New Jersey(9/23/2019)
RR
New York(9/23/2019)
RR
North Carolina(9/23/2019)
RR
Pennsylvania(9/23/2019)
IAR
Pennsylvania(9/23/2019)
RR
Texas(2/2/2021)
IAR
Texas(2/2/2021)
RR
Virginia(9/23/2019)
Exams
State Security Law Exam
State Security Law 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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
