DP
Daniel S. Phillips
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Gahanna, OH 43230
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CRD#: 6326413
DP
Professional summary
Daniel Stephen Phillips is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Gahanna, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Gahanna, Ohio.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Daniel has worked at 4 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. KENSINGTON PLACE PROFESSIONAL NETWORK, 81 FIELDCREST DR, DELAWARE, OH, 7/2017 ORGANIZING MEETING LOCATIONS AND TIMES FOR NETWORKING GROUP. NIR - 4/MO - 2/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 55/WK - 30/TRADING. 11/16/15. 3. DANIEL PHILLIPS, 4625 Morse Road, Ste 102, Gahanna OH 43230, United States, 09/09/2022, Agent, Insurance/Benefits/Human Resources, INV REL, 26 HR/MO - 20 HR/MO TRADING 4. OLENTANGY LIBERTY HIGH SCHOOL, 3584 HOME RD, POWELL, OH, 10/2018 AS ASSISTANT BOYS AND GIRLS SWIM COACH. NIR - 8/WK - 1.5/TRADING. 5. VIVA FINANCIAL, 4625 Morse Rd, Ste 102, Gahanna OH, 11/2015, DBA, Owner, INV REL, 220 HR/MO - 130 HR/MO Trading. 6. HEALTHPILOT MEDICARE REFERRAL, 4625 Morse Road, Suite 102, Gahanna OH, 9/2022, Referal Source, Insurance/Benefits/Human Resources, NIR, 2 HR/MO - 2 HR/MO Trading
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Stephen Phillips'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 16, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 4625 Morse Road Suite 102, Gahanna, OH 43230RIA
CRD#: 134139
Gahanna, OH
Current
November 16, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4625 Morse Road Suite 102, Gahanna, OH 43230BD
CRD#: 39543
Gahanna, OH
Past
March 25, 2015 - November 18, 2015
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
WORTHINGTON, OH
Past
March 25, 2015 - November 18, 2015
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
WORTHINGTON, OH
Past
October 20, 2014 - March 2, 2015
EDWARD JONES
RIA
CRD#: 250
DELAWARE, OH
Past
July 30, 2014 - March 2, 2015
EDWARD JONES
BD
CRD#: 250
DELAWARE, OH
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(11/16/2015)
RR
Florida(11/16/2015)
RR
Indiana(12/3/2020)
RR
Kentucky(11/16/2015)
RR
Massachusetts(10/26/2020)
RR
New Mexico(11/15/2018)
RR
Ohio(11/16/2015)
IAR
Ohio(11/16/2015)
RR
Oklahoma(7/13/2020)
RR
Pennsylvania(5/1/2018)
RR
South Carolina(2/16/2021)
RR
Texas(11/15/2018)
IAR
Texas(11/19/2018)
RR
Utah(11/16/2015)
RR
Washington(11/16/2015)
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
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
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.
