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Alan J. Dole
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glen Allen, VA
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CRD#: 4904989
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Professional summary
Alan Joseph Dole, who also goes by A Joseph Dole, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glen Allen, Virginia and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Richmond, Virginia.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A Joseph Dole
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) DOLE FINANCIAL SERVICES INC, 10256 HENDERSON HALL RD MECHANICSVILLE VA, 11/2011, OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 10 HR/WK 8 HR/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2011, AS ADVISORY REP OF A RIA. INV REL, 5 HR/WK 5 HR/TRADING 3) ROTARY CLUB OF MECHANICSVILLE, MECHANICSVILLE, VA, 07/2018. PRESIDENT/BOARD MEMBER, LEAD WEEKLY MEETINGS AND CHAIR MONTHLY BOARD MEETINGS. NIR, 3 HR/WK 0 HR/TRADING 4) TRES DIAS OF CENTRAL VIRGINIA (TD-CVA), PO BOX 3542 LYNCHBURG VA, 10/2024, TREASURER, RELIGIOUS ORGANIZATION, NIR, 4 HR/MO 0 HR/MO TRADING 5) THE LEGACY ADVISOR GROUP, 3900 WESTERRE PARKWAY SUITE 103 RICHMOND VA, 10/2024, AGENT, DBA, INV REL, 25 HR/MO 20 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Alan Joseph Dole'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 22, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 3900 Westerre Pkwy. Ste. 103, Richmond, VA 23233RIA
CRD#: 134139
Glen Allen, VA
Current
November 22, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3900 Westerre Pkwy. Ste. 103, Richmond, VA 23233BD
CRD#: 39543
Richmond, VA
Past
November 3, 2008 - November 23, 2011
SANDERS MORRIS LLC
RIA
CRD#: 20580
RICHMOND, VA
Past
November 3, 2008 - November 23, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
RICHMOND, VA
Past
December 6, 2005 - November 3, 2008
QA3 FINANCIAL LLC
RIA
CRD#: 104957
RICHMOND, VA
Past
December 6, 2005 - November 3, 2008
QA3 FINANCIAL CORP.
BD
CRD#: 14754
RICHMOND, VA
Past
March 9, 2005 - December 2, 2005
CAPITAL INVESTMENT ADVISORS
RIA
CRD#: 118269
RICHMOND, VA
Past
February 2, 2005 - November 29, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
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(11/22/2011)
RR
California(5/16/2018)
RR
Colorado(6/2/2022)
RR
Florida(11/22/2011)
RR
Kansas(11/22/2011)
RR
Maryland(11/22/2011)
RR
New Jersey(2/12/2024)
RR
New Mexico(6/16/2022)
RR
New York(11/22/2011)
RR
North Carolina(10/30/2012)
RR
South Carolina(1/2/2015)
RR
Texas(10/15/2018)
IAR
Texas(11/20/2018)
RR
Virginia(11/22/2011)
IAR
Virginia(11/22/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
