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DR

Dennis B. Roybal

CAMBRIDGE INVESTMENT RESEARCH
San Clemente, CA 92672
Some features on this profile are disabled
CRD#: 4639029
DR

Professional summary

Dennis Brian Roybal, who also goes by Dennis Roybal, Dennis B. Roybal, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in San Clemente, California.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2005. Dennis has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Roybal | Dennis B. Roybal

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis Brian Roybal's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 11, 2022 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 1509 N. El Camino Real Ste. 7, San Clemente, CA 92672
BD
CRD#: 39543
San Clemente, CA
Past

January 31, 2022 - August 15, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Albuquerque, NM
Past

January 24, 2022 - August 15, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Albuquerque, NM
Past

February 12, 2019 - June 2, 2021

BBVA SECURITIES INC.

BD
CRD#: 27060
ALBUQUERQUE, NM
Past

January 24, 2017 - March 29, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ
Past

June 2, 2016 - December 31, 2016

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
WESTLAKE, TX
Past

April 12, 2005 - December 3, 2015

SCOTTRADE, INC.

BD
CRD#: 8206
FORT WORTH, TX

State Registrations and Notice Filings

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

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
California
(8/11/2022)
RR
New Mexico
(8/11/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 3/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CAMBRIDGE INVESTMENT RESEARCH, INC.
CAMBRIDGE | JORDAN CREEK FINANCIAL SERVICES | FAIRFIELD GLOBAL INVESTMENTS, INC. | CANTELLA & CO., INC. | CAMBRIDGE INVESTMENT RESERARCH, INC. | CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543 / SEC#: , 8-48740

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Phone number
(641) 472-5100
Established
Iowa since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAMBRIDGE INVESTMENT GROUP, INC.SHAREHOLDER/HOLDING COMPANY
BELL, COLLEEN MCGUIREPRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR5077188
BOEN, RYANEVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER7842316
KUHLMAN, RICHARD HENRYSVP, CHIEF LEGAL OFFICER7076563
MILLER, SETH AARONPRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR5495508
ROBBINS, TAMMY ANNEXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER3125668
ROLLINS, EDDIE THOMASEXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT1523500
SHAFER, ANDREA LYNNEVP, CHIEF SUPERVISION OFFICER5448499
STONE, CARLA JEANFIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER3193985
TURNER, GREGORY WALTEREVP, CONSULTING SERVICES3144311
VEST, VALARIE KNOBLOCKEVP, CHIEF EXPERIENCE OFFICER3074142
VIVACQUA, JEFFREY FRANCISPRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR2608892
WEBBER, AMY LYNNCEO, SECRETARY; DIRECTOR1812670
YOUHN, STEPHEN MICHAELCHIEF COMPLIANCE OFFICER1414691

Disclosures

Regulatory Event13
Arbitration4

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, INC.

CRD#: 39543San Clemente, CA 92672

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