David Nathan Williams

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2000 → 11/2017
  National Planning Corp
  Santa Rosa, CA
• 11/2017 → 05/2024
  Lpl Financial, Llc
  Santa Rosa, CA
• 05/2024 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 05/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2017-11-29 → 2024-05-09
  Lpl Financial Llc
  Santa Rosa, CA
  Santa Rosa, CA
• 2003-06-24 → 2017-12-01
  National Planning Corporation
  Santa Rosa, CA
  Santa Rosa, CA
  Los Angeles, CA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 05/01/2024 2) VARIOUS NON-SECURITY ANNUITY COMPANIES, 1120 College Avenue, Santa Rosa, CA 95404, 05/06/2024, Agent, 1099, NIR, 5 HR/MO - 5 HR/MO TRADING 3) DAVID WILLIAMS RETIREMENT INVESTMENT SPECIALISTS, 1120 College Avenue, Santa Rosa, CA 95404, 05/06/2024, Agent, DBA Name, IR, 160 HR/MO - 26 HR/MO TRADING

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-04-28

Designations

• Certified Financial Planner

Other Names

• Dave Williams
• Dave N Williams