RD
Richard H. Dix
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Baltimore, MD
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CRD#: 4730925
RD
Professional summary
Richard Hansford Dix is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Baltimore, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Shrewsbury, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 13 firms and has passed the Series 66, SIE and Series 7 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) KELLER AGENCY INC, 9 S. Main Street, PO Box 215, Shrewsbury PA 17361, 03/2017, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 8 HR/MONTH 8 HR/MONTH TRADING 2) S2 FINANCIAL PARTNERS LLC, 555 Fairmount Ave Ste 100, Towson MD 21237, 06/2011, OWNER/PARTNER, DBA, INV REL, 152 HR/MONTH 152 HR/MONTH TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADMINISTRATIVE REP OF A RIA. INV REL, 80 HR/MO- 80 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 4) ASH BROKERAGE, 888 Harrison St., Suite 900, Fort Wayne IN 46802, United States, 01/01/2025, Agent, Insurance/Benefits/Human Resources, Not Investment Related, 5 HR/MO - 5 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Richard Hansford Dix'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
November 10, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 28 E. Susquehanna Ave, Towson, MD 21286Office #3: 9c S. Main St, Shrewsbury, PA 17361RIA
CRD#: 134139
Baltimore, MD
Current
November 10, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9c S. Main St, Shrewsbury, PA 17361BD
CRD#: 39543
Shrewsbury, PA
Past
September 18, 2020 - November 10, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
TOWSON, MD
Past
September 18, 2020 - November 10, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Towson, MD
Past
March 1, 2018 - May 31, 2019
THE MARSHALL FINANCIAL GROUP LLC
RIA
CRD#: 146362
Towson, MD
Past
December 7, 2016 - September 18, 2020
SSN ADVISORY, INC.
RIA
CRD#: 126090
Towson, MD
Past
December 7, 2016 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
June 13, 2011 - December 15, 2016
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HUNT VALLEY, MD
Past
June 13, 2011 - December 15, 2016
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HUNT VALLEY, MD
Past
May 15, 2007 - June 8, 2011
EQUITY SERVICES, INC.
RIA
CRD#: 265
HUNT VALLEY, MD
Past
May 15, 2007 - June 8, 2011
EQUITY SERVICES, INC.
BD
CRD#: 265
HUNT VALLEY, MD
Past
August 6, 2004 - May 14, 2007
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BALTIMORE, MD
Past
July 15, 2004 - May 14, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
BALTIMORE, MD
Past
July 15, 2004 - May 14, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BALTIMORE, MD
Past
May 10, 2004 - June 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
OWING MILLS, MD
Past
April 7, 2004 - June 25, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 7, 2004 - June 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(10/3/2023)
RR
Delaware(11/10/2021)
RR
District of Columbia(11/10/2021)
RR
Florida(11/10/2021)
RR
Georgia(9/16/2025)
RR
Maryland(11/10/2021)
IAR
Maryland(11/10/2021)
RR
Massachusetts(1/3/2025)
RR
Michigan(3/14/2024)
RR
North Carolina(11/15/2021)
RR
Pennsylvania(11/10/2021)
IAR
Pennsylvania(11/15/2021)
RR
South Carolina(11/10/2021)
RR
Virginia(11/10/2021)
RR
West Virginia(11/10/2021)
Exams
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.
