Dennis Wayne Mumford

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

• 01/2014 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2014 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2009-04-14 → 2014-02-11
  Msi Financial Services, Inc.
  Charlotte, NC
  Charlotte, NC
• 2007-04-26 → 2009-04-03
  Mml Investors Services, Llc
  Charlotte, NC

Other Businesses

1) WAYNE FINANCIAL GROUP, INC. - INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CORE MAX ADVISORS LLC, 5970 FAIRVIEW RD STE 615, CHARLOTTE, NC, 4/2014 AS MANAGING MEMBER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL - 50/WK - 50/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 4) ADVISORS ON CALL, LLC, 2916 Glen Summit Drive, Charlotte NC 28270, 01/15/2024, Managing Member, Using a Trade Name/dba, INV REL, 15 HR/MO, 10 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-04-11
• S63 Uniform Securities Agent State Law Examination
  1986-11-07

Other Names

• Dennis Mumford
• Dennis W Mumford