DW
Dawn K. Wales
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Bettendorf, IA 52722
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CRD#: 4444201
DW
Professional summary
Dawn Kay Wales is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Bettendorf, Iowa and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Bettendorf, Iowa.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dawn has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 51 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) DAWN K WALES, 441 51ST ST, MOLINE, IL, 07/2004, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 0 HR/YR, 0 HR/YR TRADING. 2) DAWN K WALES, 441 51ST ST, MOLINE, IL, 08/2012, NOTARY, NIR, 0 HR/YR, 0 HR/YR TRADING. 3) DAWN K WALES, 441 51ST ST, MOLINE, IL, 10/2014, COACH/CONSULTANT, NIR, 4 HRS/MO, 0 HR/MO TRADING. 4) QUAD CITIES MEDIATION SERVICES, 430 W 35TH ST, #7, DAVENPORT, IA, 11/2013, SMALL CLAIMS COURT MEDIATOR, NIR. 2 HR/MO, 0 HR/MO TRADING. 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 01/2021, AS ADVISORY REP OF AN RIA. INV REL, 80 HR/MO, 80 HR/MO TRADING. 6) DW INSURANCE CO INC DBA BETTERNDORF FINANCIAL GROUP, 1717 STATE ST, SUITE 101, BETTENDORF, IA, 10/2018, OWNER, DBA, INV REL, 5 HR/MO, 5 HR/MO TRADING. 7) CLIENT BUILDERS BROKERAGE HOUSE, 1717 STATE ST, SUITE 101, BETTENDORF, IA, 10/2023, BOARD MEMBER/SECRETARY, DBA, NIR, 1 HR/MO, 0 HR/MO TRADING. 8) DAWN WALES, 15228 35th Ave, East Moline IL 61244, United States, 07/16/2025, Owner, Real Estate, NIR, 1 HR/MO, 0 HR/MO TRADING. 9) WPFN/S LLC, 15228 35th Ave, East Moline IL 61244, United States, 09/26/2025, Owner, Real Estate, NIR, 1 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Kay Wales'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, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1717 State St. Ste 101, Bettendorf, IA 52722RIA
CRD#: 134139
Bettendorf, IA
Current
February 6, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1717 State St Ste 101, Bettendorf, IA 52722BD
CRD#: 39543
Bettendorf, IA
Past
July 1, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 1, 2004 - February 12, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DAVENPORT, IA
Past
March 19, 2002 - March 4, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Iowa(2/6/2008)
IAR
Iowa(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Bettendorf, IA 52722TRUST BUT VERIFY
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