DG
David B. Graf
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Traverse City, MI 49684
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CRD#: 4680013
DG
Professional summary
David B Graf, who also goes by Dave B Graf, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Traverse City, Michigan and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Traverse City, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. David has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave B Graf
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.SOCCER REFEREE, 9470 LARSEN RD, WILLIAMSBURG, MI, 4/2011. NIR - 20/YR - 0/TRADING. 2.INDEPENDENT INSURANCE AGENT, 9470 LARSEN RD, WILLIAMSBURG, MI, 9/2003 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/YR - 5/TRADING. 3.TRAVERSE BAY AREA YOUTH SOCCER, 1820 OAK HOLLOW DR, STE B, TRAVERSE CITY, MI, 6/2014 AS COACH. NIR - 80/YR - 0/TRADING. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 50/YR - 50/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5.NORTHERN FINANCIAL MANAGEMENT, 309 E Front St, Suite 100, Traverse City MI 49684, 08/2023, Owner, Using a Trade Name/dba, NIR, 160 HR/MO - 160 HR/MO TRADING. 6. GRAND TRAVERSE AREA CATHOLIC SCHOOLS, 712 N Keystone Rd, Traverse City MI 49694, United States, 09/03/2024, Coach, Sport/Fitness/Gaming, NIR, 40 HR/MO - 7 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view David B Graf'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
May 8, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 309 E Front St, Traverse City, MI 49684RIA
CRD#: 134139
Traverse City, MI
Current
May 8, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 309 E Front St, Traverse City, MI 49684BD
CRD#: 39543
TRAVERSE CITY, MI
Past
July 2, 2013 - May 9, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Southfield, MI
Past
June 21, 2013 - May 9, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Southfield, MI
Past
April 15, 2010 - June 5, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SOUTHFIELD, MI
Past
July 10, 2003 - June 5, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SOUTHFIELD, MI
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(8/9/2023)
RR
California(4/9/2018)
RR
Colorado(11/8/2017)
RR
Florida(5/8/2017)
RR
Georgia(4/18/2019)
RR
Illinois(5/8/2017)
RR
Indiana(4/18/2019)
RR
Kansas(4/18/2019)
RR
Kentucky(1/8/2025)
RR
Louisiana(5/18/2021)
RR
Michigan(5/8/2017)
IAR
Michigan(5/8/2017)
RR
Minnesota(4/18/2019)
RR
Missouri(11/22/2024)
RR
New Jersey(2/21/2019)
RR
North Carolina(3/10/2025)
RR
Ohio(4/18/2019)
RR
Oregon(5/8/2017)
RR
Pennsylvania(5/8/2017)
RR
South Carolina(1/25/2024)
RR
Texas(7/10/2017)
IAR
Texas(7/10/2017)
RR
Virginia(2/7/2022)
RR
Wisconsin(4/18/2019)
Exams
State Security Law Exam
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.
