DF
David A. Farbman
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mt Pleasant, SC
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CRD#: 603433
DF
Professional summary
David Alan Farbman is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mt Pleasant, South Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mt. Pleasant, South Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, PC 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) VAL ROC MOTEL, KILLINGTON VT 05751, 11/2022, OWNER, MOTEL, NIR, 0 HR/MO 0 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2022, IAR AFFILIATION, INV REL, 160 HR/MO 120 HR TRADING 3) RETREAT HOA, MT PLEASANT SC 29466, 05/2023, Board Member, Administrative, NIR, 1 HR/MO 0 HR/MO TRADING 4) DAVID FARBMAN, GRAND SOLMAR LANDS END CABO SAN LUCAS MX, 07/2024, OWNER, TIMESHARE, NIR, 0 HR/MO 0 HR/MO TRADING 5) AXIOMWEALTHPARTNERS, 203 Garmouth CT, Mt Pleasant SC 29466, 06/2025, Investment Advisor Representative, DBA Name, INV REL, 20 HR/MO, 16 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Farbman'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 5, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Mt Pleasant, SC
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Mt. Pleasant, SC
Past
December 13, 2022 - December 22, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Boston, MA
Past
March 27, 2017 - April 3, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Mt. Pleasant, SC
Past
March 21, 2017 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Mt. Pleasant, SC
Past
October 9, 2013 - March 24, 2017
MOORS & CABOT, INC.
RIA
CRD#: 594
BOSTON, MA
Past
October 20, 2011 - March 24, 2017
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
January 3, 2003 - October 25, 2011
OPPENHEIMER & CO. INC.
BD
CRD#: 249
BOSTON, MA
Past
June 30, 1997 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
February 8, 1988 - June 30, 1997
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 25, 1978 - May 20, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Past
April 22, 1977 - September 8, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(12/9/2022)
RR
California(12/9/2022)
RR
Connecticut(12/9/2022)
RR
Florida(12/9/2022)
RR
Massachusetts(12/9/2022)
RR
New York(12/9/2022)
RR
South Carolina(12/9/2022)
IAR
South Carolina(1/5/2023)
RR
Vermont(12/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/29/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral 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.
