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Daniel J. Duncan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Itasca, IL 60143
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CRD#: 4248886
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Professional summary
Daniel Joseph Duncan, who also goes by Dan Duncan, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Itasca, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Itasca, Illinois.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Duncan
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.CDH WEALTH MANAGEMENT LLC, 100 PIERCE RD, ITASCA, IL, 10/2002 AS OWNING MEMBER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 0 HRS. 2.CDH FINANCIAL GROUP LLC, 100 PIERCE RD, ITASCA, IL, 10/2002 AS OWNING MEMBER OF INACTIVE BUSINESS ENTITY. NIR - 0 HRS. 3.CDH PC, 100 PIERCE RD, ITASCA, IL, 9/1996 AS CFO OF PUBLIC ACCOUNTING FIRM. INV REL - 50/WK - 8/TRADING. 4.DHC REALTY LLC, 100 PIERCE RD STE 100, ITASCA, IL, 1/2000 AS CO-OWNER OF LLC OWNING REAL ESTATE. NIR - 0 HRS. 5.D.M. DESCEDANTS TRUST, PHEONIX, AZ, 12/2013 AS CO-TRUSTEE. NIR - 1/MO - 0/TRADING. 6.J.M.P. DESCENDANTS TRUST, PHEONIX, AZ, 12/2013 AS CO-TRUSTEE. NIR - 1/MO - 0/TRADING. 7. W.J.G. MARITAL TRUST, PHEONIX, AZ, 1/2014 AS CO-TRUSTEE. NIR - 1/MO - 0/TRADING. 8. PREPARE TAXES FOR FAMILY TRUST, DES PLAINES, IL, 9/2005. NIR - 0 HRS. 9. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 10. CDH CPA PLLC, 100 Pierce Road, Suite 100, Itasca IL 60143, 07.2024, PARTNER, ACCOUNTING, NIR, 160 HR/MO - 160 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Duncan'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 14, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 Pierce Rd. Ste 100, Itasca, IL 60143RIA
CRD#: 134139
Itasca, IL
Current
December 14, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 Pierce Rd. Ste 100, Itasca, IL 60143BD
CRD#: 39543
Itasca, IL
Past
November 3, 2015 - December 18, 2018
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ITASCA, IL
Past
October 28, 2015 - December 18, 2018
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ITASCA, IL
Past
January 2, 2009 - November 18, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ITASCA, IL
Past
April 23, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ITASCA, IL
Past
November 3, 2000 - November 18, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ITASCA, IL
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
Illinois(12/14/2018)
IAR
Illinois(12/14/2018)
RR
Kansas(7/16/2021)
Exams
State Security Law 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.
