DS
David C. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Beverly, MA 01915
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CRD#: 3132841
DS
Professional summary
David Christopher Smith MR., who also goes by David Christopher Smith, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Beverly, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Beverly, Massachusetts.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Christopher Smith
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, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 03/15/21 2) DCS Financial Group / 100 Cummings Center Suite 346-E BEVERLY, MA 01915 / 03/31/2006 / INV REL / PRESIDENT - INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES / 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view David Christopher Smith MR.'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 9, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 Cummings Center Suite 537-h, Beverly, MA 01915RIA
CRD#: 134139
Beverly, MA
Current
December 8, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 Cummings Center 346-e, Beverly, MA 01915BD
CRD#: 39543
Beverly, MA
Past
November 6, 2020 - December 8, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
November 6, 2020 - December 8, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Beverly, MA
Past
November 8, 2016 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
Beverly, MA
Past
August 29, 2016 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
Beverly, MA
Past
April 3, 2006 - September 1, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
WOBURN, MA
Past
March 31, 2006 - September 1, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WOBURN, MA
Past
October 20, 2004 - March 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CAMBRIDGE, MA
Past
October 20, 2004 - March 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 29, 2003 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
CAMBRIDGE, MA
Past
September 4, 2002 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
September 10, 2001 - August 5, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 10, 2000 - September 18, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 25, 1999 - October 14, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 25, 1999 - October 14, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Arizona(2/24/2023)
RR
California(12/8/2020)
RR
Florida(5/6/2021)
RR
Georgia(3/3/2021)
RR
Kentucky(2/4/2025)
RR
Maine(12/10/2020)
RR
Massachusetts(3/15/2021)
IAR
Massachusetts(3/15/2021)
RR
Michigan(6/15/2021)
RR
Mississippi(3/16/2021)
RR
New Hampshire(4/8/2021)
RR
New Jersey(2/6/2023)
RR
New York(12/8/2020)
RR
Pennsylvania(12/8/2020)
RR
South Carolina(2/15/2024)
RR
Texas(12/8/2020)
IAR
Texas(12/9/2020)
RR
Washington(1/6/2025)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Beverly, MA 01915TRUST BUT VERIFY
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