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David Adam Elfenbein

Cambridge Investment Research Advisors, Inc.

Florence, AL

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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2024-09-18
TX RA APPROVED 2024-08-09
AL RA APPROVED 2024-06-19
  • PR RA
    APPROVED
    Since 2024-09-18
  • TX RA
    APPROVED
    Since 2024-08-09
  • AL RA
    APPROVED
    Since 2024-06-19

Branch Locations

412 S. Court St. Ste 202, Florence, AL 35630 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc New York NY 04/2012 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 11/2021
Key Wealth Advisors Llc New York NY 11/2021 06/2024
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2024 Present
Cambridge Investment Research, Inc. Fairfield IA 06/2024 Present
Cambridge Investment Research, Inc. Fairfield IA 08/2026 Present
  • 04/2012 → 11/2016
    Wells Fargo Advisors Llc
    New York, NY
  • 11/2016 → 11/2021
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 11/2021 → 06/2024
    Key Wealth Advisors Llc
    New York, NY
  • 06/2024 → Present
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 06/2024 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2026 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
Previous Registrations
  • 2024-01-09 → 2024-07-17
    Key Wealth Advisors Llc
    Hazlet, NJ
  • 2021-11-21 → 2023-12-31
    Key Wealth Advisors Llc
    Hazlet, NJ
    Florence, AL
  • 2012-04-13 → 2021-11-26
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 2004-11-12 → 2012-04-23
    Ubs Financial Services Inc.
    Paramus, NJ
    Paramus, NJ
  • 2002-06-07 → 2004-11-15
    Morgan Stanley Dw Inc.
    Ridgewood, NJ
Other Businesses

1. Elfenbein Wealth Management, 412 S. Court Street, Ste. 202, Florence AL 35630, United States, 06/20/2024, President, DBA Name, INV REL, 170 HR/MO - 170 HR/MO TRADING 2. DAVID ELFENBEIN / ELFENBEIN WEALTH MANAGEMENT, 412 S COURT ST STE 202, FLORENCE AL 35630-5647, United States, 03/2025, Agent, Insurance/Benefits/Human Resources, NIR, HR/MO 5, HR/MO TRADING 2

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-31
S63 Uniform Securities Agent State Law Examination 1998-03-11
  • S65 Uniform Investment Adviser Law Examination
    1998-03-31
  • S63 Uniform Securities Agent State Law Examination
    1998-03-11

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · FLORENCE, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Florence, AL
EDWARD JONES · FLORENCE, AL
EDWARD JONES · FLORENCE, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Florence, AL
OSAIC WEALTH, INC. · FLORENCE, AL
AMERIPRISE FINANCIAL SERVICES, LLC · Florence, AL
EDWARD JONES · FLORENCE, AL

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