DM
Daryl Miller
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Lincoln, MA
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CRD#: 2706426
DM
Professional summary
Daryl Miller is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lincoln, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lincoln, Massachusetts.
Daryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Daryl has worked at 8 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) TABOR HILL FINANCIAL, 176 Trapelo Road, Lincoln MA 01773, 01/2003, President, 1099 Contractor/dba, INV REL, 140 HR/Mo, 140 HR/MO Trading 2) DARYL MILLER TENNIS INSTRUCTION, 176 Trapelo Road, Lincoln MA 01773, 07/2016, Coach, 1099 Contractor, NIR, 10 HR/MO, 0 HR/MO Trading 3) DARYL MILLER MATH TUTOR, 176 Trapelo Road, Lincoln MA 01773, 07/2016, Academic Tutor, 1099 Contractor, NIR, 5 HR/Mo, 0 HR/MO Trading 4) CIRA, Fairfield IA 52556, 12/2022, Investment Advisor Representative, Manages client assets or prepares financial plans, INV-REL, 160 HO/MO - 120 HR/MO Trading
CRS (Client Relationship Summary) - RIA
Click below to view Daryl Miller'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
January 4, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Lincoln, MA
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Lincoln, MA
Past
July 27, 2016 - June 1, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Lincoln, MA
Past
July 22, 2016 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Lincoln, MA
Past
October 1, 2010 - July 27, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LINCOLN, MA
Past
April 9, 2010 - July 27, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LINCOLN, MA
Past
November 6, 2006 - March 30, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
LINCOLN, MA
Past
January 7, 2003 - March 30, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
LINCOLN, MA
Past
January 2, 2002 - December 31, 2002
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
August 15, 1997 - January 2, 2002
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
February 3, 1996 - August 8, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
California(12/9/2022)
RR
Connecticut(10/5/2023)
RR
Florida(12/9/2022)
RR
Georgia(12/9/2022)
RR
Maine(12/9/2022)
RR
Massachusetts(12/9/2022)
IAR
Massachusetts(1/4/2023)
RR
New York(12/9/2022)
RR
South Carolina(12/9/2022)
RR
Vermont(10/5/2023)
RR
Virginia(6/8/2023)
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
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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.
