DA
David R. Alves
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Kingston, NH
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CRD#: 5240692
DA
Professional summary
David Ryan Alves is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Kingston, New Hampshire and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Kingston, New Hampshire.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 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) CANTELLA, 389 Main St Ste 101, Malden MA 02148, United States, 01/02/2025, Director of Operations, DBA Name, INV REL, 4 HR/MO - 4 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 08/2023, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 3) DAVID ALVES, 4 TRAVIS COVE RD, KINGSTON, NH, 01/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 5 HR/MO, 5 HR/MO TRADING. 4) AXIOM WEALTH PARTNERS, 4 TRAVIS COVE RD, KINGSTON, NH 03848, 01/2024, OWNER, USING A TRADE NAME/DBA, INV REL, 8 HR/MO - 0 HR/MO TRADING. 5) CANTELLA CAPITAL GROUP LLC, 389 MAIN ST, SUITE 101, MALDEN MA 02148, 01/2025, Owner, DBA Name, NIR, 20 HR/MO, 20 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view David Ryan Alves'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
December 12, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 389 Main St. Ste. 101, Malden, MA 02148Office #3: 389 Main St. Ste. 101, Malden, MA 02148RIA
CRD#: 134139
Kingston, NH
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #2: 389 Main St., Ste. 101, Malden, MA 02148Office #3: 389 Main Street. 1st Fl., Malden, MA 02148BD
CRD#: 39543
Kingston, NH
Past
June 4, 2019 - June 1, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Malden, MA
Past
May 29, 2019 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Malden, MA
Past
November 30, 2018 - May 24, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
PORTSMOUTH, NH
Past
November 29, 2018 - May 24, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
PORTSMOUTH, NH
Past
November 2, 2018 - November 28, 2018
OSAIC WEALTH, INC.
RIA
CRD#: 23131
PORTSMOUTH, NH
Past
November 2, 2018 - November 28, 2018
OSAIC WEALTH, INC.
BD
CRD#: 23131
PORTSMOUTH, NH
Past
November 5, 2013 - January 7, 2016
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
August 23, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
PORTSMOUTH, NH
Past
August 13, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
PORTSMOUTH, NH
Past
October 27, 2009 - December 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
October 23, 2009 - December 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
November 13, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WALTHAM, MA
Past
November 3, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WALTHAM, MA
Past
May 17, 2007 - October 24, 2008
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LYNNFIELD, MA
Past
February 21, 2007 - October 24, 2008
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
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(5/14/2025)
RR
California(4/19/2024)
RR
Connecticut(6/6/2024)
RR
Florida(4/19/2024)
RR
Hawaii(6/6/2024)
RR
Maine(1/16/2024)
RR
Massachusetts(12/9/2022)
IAR
Massachusetts(12/13/2022)
RR
New Hampshire(12/9/2022)
IAR
New Hampshire(12/12/2022)
RR
New York(8/29/2023)
RR
Rhode Island(6/6/2024)
RR
South Carolina(5/19/2025)
RR
Texas(2/10/2025)
IAR
Texas(2/11/2025)
RR
Vermont(5/19/2025)
RR
Virginia(6/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
