David Schaum
David Schaum is a registered investment advisor at Cetera Investment Advisers LLC, based in Delray Beach, FL, with 42 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Delray Beach, FL
Get directionsHistory
Regulatory History (4)
Customer Dispute
June 2001Customer Dispute
February 2001Criminal
November 1977Criminal
Other Business Activities
David is a managing partner at Schaum Wealth Management, LLC, providing brokerage and advisory services, which takes a full-time commitment. He also serves on the board of directors for the American Association of Care Giving Youth, dedicating minimal time to reviewing financial statements.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Salomon Smith Barney INC.Broker
Advest, INC.Broker
Reich & CO., INC.Broker
Reich & CO., INC.Broker
Dominick & Dominick, IncorporatedBroker
Prescott, Ball & Turben, INC.Broker
G. K. Scott & CO., INC.Broker
Greentree Securities CORP.Broker
The Stuart-James Company, INC.Broker
Blinder, Robinson & Co.,inc.Broker
Greentree Securities CORP.Broker
Blinder, Robinson & Co.,inc.Broker
State Registrations9 states
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.