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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

RICHARD DANIEL GREGORY

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Decatur, AL

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Search this name across graphsid dfx:ria:144e73ff-ae32-046f-c5d3-9dd3c899c63a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 10, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Nov 1, 1996
First registration: Apr 10, 1999
Dual registered: yes, broker-dealer
Other names: RICHARD DANIEL GREGORY|RICHIE GREGORY|RICHARD DANIEL GREGORY
IAPD individual key: 2801852

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Oct 4, 2023	n/a	yes	Decatur, AL	Current employment
OAK TREE FINANCIAL SERVICES, LLC	Former SEC adviser	Jan 26, 2018	Oct 2, 2023	no	HUNTSVILLE, AL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 7, 2016	Dec 14, 2017	no	HUNTSVILLE, AL\|HUNTSVILLE, AL\|HUNTSVILLE, AL	Previous registration
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Oct 9, 2012	Jul 1, 2016	no	HUNTSVILLE, AL\|MORRISTOWN, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 7, 2008	Sep 17, 2012	no	HUNTSVILLE, AL	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Apr 10, 1999	Mar 12, 2008	no	DECATUR, AL\|DECATUR, AL\|DECATUR, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OAK TREE FINANCIAL SERVICES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Oct 2, 2023	Oct 4, 2023	2	Firm change	RIA to ibd
LPL FINANCIAL LLC	OAK TREE FINANCIAL SERVICES, LLC	Dec 14, 2017	Jan 26, 2018	43	Firm change	RIA to RIA
PRIVATE ADVISOR GROUP, LLC	LPL FINANCIAL LLC	Jul 1, 2016	Jul 7, 2016	6	Firm change	Other
WELLS FARGO ADVISORS	PRIVATE ADVISOR GROUP, LLC	Sep 17, 2012	Oct 9, 2012	22	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	WELLS FARGO ADVISORS	Mar 12, 2008	Mar 7, 2008	-5	Firm change	Other

Relationships

Registered with (6)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Oct 4, 2023 to presentfactForm ADV
→ OAK TREE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 26, 2018 to Oct 2, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 7, 2016 to Dec 14, 2017factForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Oct 9, 2012 to Jul 1, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 7, 2008 to Sep 17, 2012factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Apr 10, 1999 to Mar 12, 2008factForm ADV

Dated events

Occurred
Oct 2, 2023
Advisor changed firm
Richard Daniel Gregory left Oak Tree Financial Services, Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-10-04)
Form ADVobserved 3 days ago