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Information

Other Names: Dana E Gilpatrick Mr., Dana Edmond Gilpatrick Mr., Dana Gilpatrick
Firm:
Additional Firm:
Type: Dual Registration
Description

Dana Gilpatrick is a financial professional at Cambridge Investment Research Advisors, Inc., a $20B RIA based in Fairfield, IA. Dana is also registered with Cambridge Investment Research, Inc., a broker-dealer with over 3,100 registered representatives nationwide. Dana has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Dana Edmond Gilpatrick has not answered any questions on Financial Q&A.

Top Guides

Dana Edmond Gilpatrick has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Cambridge Investment Research, Inc. 10 months, 3 weeks Jun 2013 - Present
Cambridge Invesment Research Advisors, Inc. 10 months, 3 weeks Jun 2013 - Present
Fidelity Investments 5 years, 4 months Feb 2008 - Jun 2013
AXA Advisors, LLC 6 months Aug 2007 - Feb 2008
Veritude 10 months Oct 2006 - Aug 2007
West Heating Oil 6 months Dec 2005 - Jun 2006
Pat Hoey Production 5 months Jun 2005 - Nov 2005
Mr. Handyman 1 year May 2004 - May 2005
Clark University 3 years, 10 months Aug 2002 - Jun 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/25/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/25/2013
10/03/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 08/04/2011
General Securities Sales Supervisor - General Module Examination Series 10 05/05/2011
General Securities Sales Supervisor - Options Module Examination Series 9 11/19/2010
Uniform Combined State Law Examination Series 66 10/01/2007
General Securities Representative Examination Series 7 09/10/2007

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SOLICITATION FEES FROM 3RD PARTY MONEY MANAGERS