Alan Joseph Dole

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

• 11/2011 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 11/2011 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2008-11-03 → 2011-11-23
  Sanders Morris Llc
  Houston, TX
  Richmond, VA
• 2005-12-06 → 2008-11-03
  Qa3 Financial Llc
  Richmond, VA
  Omaha, NE
  Richmond, VA
• 2005-03-09 → 2005-12-02
  Capital Investment Advisors
  Richmond, VA

Other Businesses

1) DOLE FINANCIAL SERVICES INC, 10256 HENDERSON HALL RD MECHANICSVILLE VA, 11/2011, OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 10 HR/WK 8 HR/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 11/2011, AS ADVISORY REP OF A RIA. INV REL, 5 HR/WK 5 HR/TRADING 3) ROTARY CLUB OF MECHANICSVILLE, MECHANICSVILLE, VA, 07/2018. PRESIDENT/BOARD MEMBER, LEAD WEEKLY MEETINGS AND CHAIR MONTHLY BOARD MEETINGS. NIR, 3 HR/WK 0 HR/TRADING 4) TRES DIAS OF CENTRAL VIRGINIA (TD-CVA), PO BOX 3542 LYNCHBURG VA, 10/2024, TREASURER, RELIGIOUS ORGANIZATION, NIR, 4 HR/MO 0 HR/MO TRADING 5) THE LEGACY ADVISOR GROUP, 3900 WESTERRE PARKWAY SUITE 103 RICHMOND VA, 10/2024, AGENT, DBA, INV REL, 25 HR/MO 20 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-03-08
• S63 Uniform Securities Agent State Law Examination
  2005-02-03

Other Names

• A Joseph Dole