TrueAdvisor
TrueAdvisor
DL
DL

David Lazarus

Oppenheimer & CO. INC.
43 Years of Experience
St. Louis, MO
1 DisclosureBroker
View SEC Summary
View SEC Summary

David Lazarus is a registered investment advisor at Oppenheimer & CO. INC., based in St. Louis, MO, with 43 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 Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

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

Location

One North Brentwood Boulevard, Suite 600, St. Louis, MO, 63105

Get directions

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
April 2004
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2007 - Present · 18 yrs 11 mos
Oppenheimer & CO. INC.Broker
January 2003 - Present · 23 yrs 9 mos
Previous Registrations
Oppenheimer Asset Management
April 2003 - November 2007 · 4 yrs 7 mos
Fahnestock Asset Management
January 2003 - April 2003 · 3 mos
Cibc World Markets CORP.
October 1997 - January 2003 · 5 yrs 3 mos
Cibc World Markets CORP.Broker
February 1995 - January 2003 · 7 yrs 11 mos
Painewebber IncorporatedBroker
August 1986 - February 1995 · 8 yrs 6 mos
Dean Witter Reynolds INC.Broker
April 1983 - September 1986 · 3 yrs 5 mos
State Registrations25 states
ARAZCACODCFLGAILINKYLAMAMDMIMNMONCNENVNYOHOKORPATX
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.
More Advisors
More financial advisors in St. Louis, MO →All financial advisors in Missouri →