David H. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Flint, MI 48532
Some features on this profile are disabled
CRD#: 4372753
Professional summary
David Henry Smith, CFP®, who also goes by Dave Smith, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Flint, Michigan and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Flint, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave 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. COMPLETE WEALTH ADVISORS, 2337 STONEBRIDGE DR, BLDG F, FLINT, MI, 11/1997 AS Independent insurance agent SELLING/SERVICING P&C & LIFE PRODUCTS THROUGH various independent insurance companies. INV REL - 10 HR/MO - 10/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 5/2016 AS ADVISORY REP OF A RIA. INV REL - 30 HR/WK - 6/TRADING. 3. COMPLETE STRATEGIC WEALTH, 2337 STONE BRIDGE DR, BLDG F, FLINT, MI, 3/2016 AS OWNER/PRESIDENT. INV REL - FINANCIAL PROFESSIONAL UTILIZING DBA NAME. 5 HR/MO - 0/TRADING. 4. LAMB OF GOD FELLOWSHIP, 214 N SAGINAW ST, MONTROSE, MI, 11/2019. BOARD MEMBER, ASSIST IN MAKING FINANCIAL AND STRATEGIC DECISIONS FOR THE CHURCH. NIR-4/MO-0/TRADING. 5. GLEANER TRI-COUNTY ARBOR, 8606 GALLANT FOX TR, FLUSHING, MI, BOARD MEMBER OF NON-PUBLIC ENTITY, PRESIDENT, 04/01/20/ NIR, 5/MO- 0/TRADING 6. LAMB OF GOD FELLOWSHIP, 214 N SAGINAW ST, MONTROSE, MI, CARE PASTOR FOR WEDDINGS, NIR, 02/01/16, 5/MO- 0/TRADING 7. FLUSHING RIFLE AND PISTOL CLUB, 165 INDUSTRIAL DR, FLUSHING MI 48433, 01/2024, BOARD MEMBER, NIR, 10 HR/MO - 2 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view David Henry Smith'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: 2023
Experience
Current
May 10, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2337 Stonebridge Dr. Bldg F, Flint, MI 48532RIA
CRD#: 134139
Flint, MI
Current
May 6, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2337 Stonebrige Drive Ste F, Flint, MI 48532BD
CRD#: 39543
Flint, MI
Past
October 30, 2010 - May 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
FLINT, MI
Past
August 9, 2006 - May 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
FLINT, MI
Past
December 16, 2005 - August 14, 2006
BROAD STREET SECURITIES, INC.
BD
CRD#: 36101
PLANTATION, FL
Past
June 1, 2004 - December 9, 2005
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
April 16, 2001 - June 1, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(1/2/2025)
RR
Delaware(1/2/2025)
RR
Florida(5/6/2016)
RR
Georgia(1/2/2025)
RR
Indiana(1/2/2025)
RR
Michigan(5/6/2016)
IAR
Michigan(5/10/2016)
RR
Minnesota(1/2/2025)
RR
Missouri(9/6/2023)
RR
North Carolina(1/2/2025)
RR
South Carolina(1/2/2025)
RR
South Dakota(6/10/2025)
RR
Tennessee(1/2/2025)
RR
Texas(1/2/2019)
IAR
Texas(1/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/26/2007
Corporate Securities Limited Representative ExaminationGeneral 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
