David L. Cagwin

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CRD#: 37984

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Lee Cagwin was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1972. David had worked at 7 firms and has passed the Series 65, Series 63, Series 6, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

I AM THE OWNER AND BROKER OF YOUR REAL ESTATE COMPANY, LLC, 221 1ST STREET, KALONA, IA 52247 THAT SELL RESIDENTIAL, COMMERCIAL AND FARM REAL ESTATE. WE SPEND CLOSE TO 40 HOURS PER WEEK IN SALES AND MANAGEMENT ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 8, 2007 - March 8, 2023

BRADFORD FINANCIAL CENTER

RIA

CRD#: 110953

KALONA, IA

Past

May 24, 1991 - December 31, 1994

SECURITIES AMERICA, INC.

CRD#: 10205

Past

April 12, 1985 - December 8, 1987

EN SOF SECURITIES CORPORATION

CRD#: 13049

Past

July 26, 1984 - May 24, 1991

G. R. PHELPS & CO., INC.

CRD#: 173

Past

February 27, 1984 - May 18, 1984

FIRM ONE SECURITIES, INCORPORATED

CRD#: 13531

Past

March 20, 1972 - July 20, 1984

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

March 20, 1972 - July 20, 1984

MONY SECURITIES CORPORATION

CRD#: 4386

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".

BRADFORD FINANCIAL CENTER

CRD#: 110953 / SEC#: 801-68117

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

Iowa

Registered Investment Advisory firm - (9/13/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/7/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/16/1990

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 3/15/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/1991

General Securities Principal Examination

Current Firm

BRADFORD FINANCIAL CENTER

CRD#: 110953 / SEC#: 801-68117

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

Iowa

Registered Investment Advisory firm - (9/13/2007 Terminated)

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Contact information

Main Address

119 Central Ave W, Clarion, IA 50525

Mailing Address

Po Box 540, Clarion, IA 50525-0540

Phone number

(515) 532-6661

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADFORD ADV 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,710
AUM (Assets Under Management)	$ 232,332,172

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.

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Advisor Monitoring

Firm Stability Insights

David L. Cagwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

EN SOF SECURITIES CORPORATION

G. R. PHELPS & CO., INC.

FIRM ONE SECURITIES, INCORPORATED

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

BRADFORD FINANCIAL CENTER

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2007

Series 63

Date: 5/16/1990

Series 6

Date: 5/16/1990

Series 1

Date: 3/15/1972

Series 24

Date: 7/29/1991

Current Firm

BRADFORD FINANCIAL CENTER

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRADFORD FINANCIAL CENTER

TRUST BUT VERIFY

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