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DB
CFP · ChFC
DB
CFP · ChFC

Duvan Brock

Cambridge Investment Research Advisors, INC.
37 Years of Experience
Calhoun, GA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Duvan Brock is a CFP, ChFC-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Calhoun, GA, with 37 years of industry experience. Duvan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3933 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

276 Curtis Pkwy. NE, Calhoun, GA, 30701

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2024
Settled
Customer Dispute
July 2016
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Duvan is involved in several business activities, including real estate holding companies, church and scouting organizations, and financial services through Duvan Brock Financial Services, LLC and DB Investment Services, LLC. He dedicates nearly full-time hours to Duvan Brock Financial Services, LLC during trading hours.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
December 2025 - Present · 10 mos
Cambridge Investment Research, INC.Broker
November 2025 - Present · 11 mos
Previous Registrations
Dempsey Lord Smith, LLC
January 2026 - April 2026 · 3 mos
Dempsey Lord Smith, LLC
August 2009 - December 2025 · 16 yrs 4 mos
Dempsey Lord Smith, LLCBroker
August 2009 - November 2025 · 16 yrs 3 mos
Ameriprise Financial Services, INC.
February 2003 - August 2009 · 6 yrs 6 mos
Ameriprise Financial Services, INC.Broker
August 1991 - August 2009 · 18 yrs
Ids Life Insurance CompanyBroker
August 1991 - July 2006 · 14 yrs 11 mos
Mariner Financial Services, INC.Broker
August 1989 - December 1990 · 1 yr 4 mos
Edward D. Jones & CO., L.P.Broker
February 1987 - October 1987 · 8 mos
State Registrations15 states
ALARCAFLGAMOMSMTNCNMNYOHSCTNTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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