DD
David K. Douglass
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
PONTIAC, IL 61764
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CRD#: 5032603
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Professional summary
David K Douglass MR., who also goes by David K Douglass, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Pontiac, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Pontiac, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David K Douglass
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)INDEPENDENT INSURANCE AGENT, 305A WEST WASHINGTON, PONTIAC, IL, 9/2005 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 8/WK - 2/TRADING. 2) PENSION PLUS, INC. 305A W. WASHINGTON ST, PONTIAC, IL 61764. BEGAN 1/8/05 AS A CONSULTANT DEVOTING 20 HRS/WK, 20 HRS DURING TRADING. 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 5/WK - 5/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 4)DOUGLASS FAMILY LLC, 305A W WASHINGTON, PONITAC, IL 61764 ; BEGAN 01/01/2014 ; AS LIMITED PARTNER ; NOT INVESTMENT RELATED ; DEVOTES 0 HRS, RENTAL PROPERTY 5.CO-TRUSTEE OF PARENT'S TRUST, PONTIAC, IL, 1/2017. NIR - 10/YR - 0/TRADING. 6.EVANS JUNIOR HIGH PROMISE COUNCIL AND PTO, 2901 MORRISSEY DR, BLOOMINGTON, IL, 4/2016 AS VICE CHAIR/COUNCIL MEMBER - ASSIST COUNCIL ON MAKING DECISIONS REGARDING THE PROGRAM'S GOALS AND OBJECTIVES. NIR - 2/MO - 0/TRADING. 7.MACLEAN COUNTY LAND TRUST D2015, 3807 GE RD STE 2, BLOOMINGTON, IL, 3/2015 AS PARTNER OWNING REAL ESTATE. NIR - 2/MO - 0/TRADING. 8. EVAN JUNIOR HIGH PROMISE COUNCIL, 2901 MORRISSEY DR, BLOOMINGTON, IL, 04/2016. VICE CHAIR, ASSIST COUNCIL ON MAKING DECISIONS. NIR-2/MO-0/TRADING. 9. BEYOND THE BOOKS EDUCATIONAL FOUNDATION BOARD, 300 EAST MONROE ST, BLOOMINGTON, IL, 08/2018. DIRECTOR, REVIEW GRANT APPLICATIONS. NIR-2/MO-0/TRADING. 10. DOUGLASS FINANCIAL SERVICESS, 305A West Washington, Pontiac IL 61764, United States, 07/2025, DBA NAME, INV REL, 200 HR/MO - 200 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view David K Douglass MR.'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 14, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 305a W Washington, Pontiac, IL 61764RIA
CRD#: 134139
PONTIAC, IL
Current
October 10, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 305a W. Washington, Pontiac, IL 61704Office #2: 563 William Latham Dr, Bourbonnais, IL 60914BD
CRD#: 39543
PONTIAC, IL
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(9/7/2012)
RR
California(3/25/2011)
RR
Colorado(1/3/2022)
RR
Illinois(10/25/2005)
IAR
Illinois(1/14/2010)
RR
Indiana(1/3/2006)
RR
Mississippi(9/19/2024)
RR
Missouri(1/11/2023)
RR
Texas(1/2/2024)
IAR
Texas(1/3/2024)
RR
Washington(1/2/2024)
RR
Wisconsin(8/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 7/29/2011
Corporate Securities Limited Representative ExaminationGeneral 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Pontiac, IL 61764TRUST BUT VERIFY
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