DP
Daniel R. Potter
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Houston, TX 77042
Some features on this profile are disabled
CRD#: 4657129
DP
Professional summary
Daniel Robert Potter is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Houston, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Houston, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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)POTTER & GOLDEN, P.C., 11111 WILCREST GREEN, STE 440, HOUSTON, TX, SINCE 6/2006 AS PRESIDENT & MANAGING MEMBER. C-CORP PROVIDES TAX PREP & ACCOUNTING SERVICES - NIR - DEVOTES 2000 HR/YR - 1500 HR/TRADING.
2)Independent insurance agent, 11111 WILCREST GREEN DR, STE 440, HOUSTON, TX, 8/2015, FOR various independent insurance companies. 10 HR/YR - 10/TRADING.
3-POTTER FINANCIAL, 11111 WILCREST GREEN STE 442, HOUSTON, TX, 6/2015. INV REL - FINANCIAL PROFESSIONAL UTILIZING DBA NAME.
4-CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 1/2016 AS ADVISORY REP OF A RIA. INV REL - 500 HR/YR- 9/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Robert Potter'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, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 11111 Wilcrest Green Dr. Ste 442, Houston, TX 77042RIA
CRD#: 134139
Houston, TX
Current
June 18, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 11111 Wilcrest Green Dr. Ste 442, Houston, TX 77042BD
CRD#: 39543
Houston, TX
Past
July 26, 2013 - June 19, 2015
CCF INVESTMENTS, INC.
BD
CRD#: 136571
HOUSTON, TX
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
Alabama(5/21/2024)
RR
California(9/8/2023)
RR
Florida(1/12/2016)
RR
Georgia(12/17/2022)
RR
Idaho(9/8/2023)
RR
Illinois(10/11/2023)
RR
Iowa(6/13/2025)
RR
Kansas(3/25/2024)
RR
Louisiana(3/25/2024)
RR
Maryland(1/16/2025)
RR
Massachusetts(6/22/2022)
RR
Michigan(8/17/2023)
RR
Missouri(1/3/2023)
RR
Nebraska(6/13/2024)
RR
Nevada(1/16/2025)
RR
New Jersey(1/3/2023)
RR
New Mexico(9/8/2023)
RR
New York(1/3/2023)
RR
North Carolina(10/11/2023)
RR
Ohio(3/25/2024)
RR
Oklahoma(6/18/2015)
RR
Oregon(1/16/2025)
RR
Pennsylvania(6/27/2024)
RR
Tennessee(1/26/2022)
RR
Texas(6/18/2015)
IAR
Texas(1/4/2016)
RR
Utah(4/3/2024)
RR
Vermont(9/13/2024)
RR
Virginia(9/8/2023)
RR
Washington(5/17/2023)
RR
Wisconsin(1/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2019
General Securities Representative ExaminationGeneral 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
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.
