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David Farbman

Cambridge Investment Research Advisors, INC.
49 Years of Experience
Mt Pleasant, SC
1 DisclosureBroker
View SEC Summary
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David Farbman is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Mt Pleasant, SC, with 49 years of industry experience. David 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
3940 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
—
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Location

Mt Pleasant, SC

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History

Regulatory History (1)
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
July 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David owns a motel in Killington, VT, a timeshare in Cabo San Lucas, and is affiliated with CIRA as an IAR, dedicating full-time hours to this role. He also serves as a board member for Retreat HOA, spending minimal time on this activity.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
January 2023 - Present · 3 yrs 9 mos
Cambridge Investment Research, INC.Broker
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
December 2022 - December 2022 · 0 mos
Cantella & CO., INC.
March 2017 - April 2023 · 6 yrs 1 mo
Cantella & CO., INC.Broker
March 2017 - December 2022 · 5 yrs 9 mos
Moors & Cabot, INC
October 2013 - March 2017 · 3 yrs 5 mos
Moors & Cabot, INC.Broker
October 2011 - March 2017 · 5 yrs 5 mos
Oppenheimer & CO. INC.Broker
January 2003 - October 2011 · 8 yrs 9 mos
Cibc World Markets CORP.Broker
June 1997 - January 2003 · 5 yrs 7 mos
Bear, Stearns & CO. INC.Broker
February 1988 - June 1997 · 9 yrs 4 mos
L. F. Rothschild & CO. IncorporatedBroker
August 1978 - May 1988 · 9 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
April 1977 - September 1978 · 1 yr 5 mos
State Registrations8 states
AZCACTFLMANYSCVT
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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David Farbman - Financial Advisor | TrueAdvisor