David Alan Farbman

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

• 10/2011 → 03/2017
  Moors & Cabot
  Boston, MA
• 03/2017 → 03/2023
  Cantella & Co., Inc.
  Boston, MA
• 12/2022 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 12/2022 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA

Previous Registrations

• 2017-03-27 → 2023-04-03
  Cantella & Co., Inc.
  Malden, MA
  Boston, MA
  Mt. Pleasant, SC
  Malden, MA
  Malden, MA
• 2013-10-09 → 2017-03-24
  Moors & Cabot, Inc.
  Boston, MA

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-10-06
• S63 Uniform Securities Agent State Law Examination
  1983-03-21