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ChFC

Donald Oates

Lombard Advisers Incorporated
42 Years of Experience
Hampstead, MD
BrokerSells Insurance
View SEC Summary
View SEC Summary

Donald Oates is a ChFC-designated registered investment advisor at Lombard Advisers Incorporated, based in Hampstead, MD, with 42 years of industry experience. Donald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Investment Management, Retirement Planning. Their firm serves 985 clients with $670M in assets under management.

Lombard Advisers Incorporated
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
34 advisors
Number of Clients
985 clients
Average Client Portfolio
$680K average
Assets Under Management
$669.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1.0M - $3.0M1.00%
$3.0M - $10.0M0.75%
$10M+0.75%

Fees are negotiable and may be lower based on various criteria.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

4014 Hampstead Mexico Road, Hampstead, MD, 21074

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Donald sells fixed insurance, life, health, and medical supplement insurance through Whitehouse Financial Group, with about two-thirds of his practice focused on non-securities insurance. He also owns Castle Realty, a licensed residential real estate sales company, and works as a FINRA arbitrator and tax preparer (seasonally).

Employment History
Current Registrations
Lombard Advisers Incorporated
March 2013 - Present · 13 yrs 7 mos
Lombard Securities IncorporatedBroker
March 1992 - Present · 34 yrs 7 mos
Previous Registrations
Linsco/private Ledger CORP.Broker
December 1989 - March 1992 · 2 yrs 3 mos
Linsco Financial Group, INC.Broker
March 1989 - December 1989 · 9 mos
Atlantic Securities, INC.Broker
August 1986 - March 1989 · 2 yrs 7 mos
Cardell & Associates, IncorporatedBroker
April 1984 - July 1986 · 2 yrs 3 mos
Ids Marketing CorporationBroker
September 1983 - May 1984 · 8 mos
State Registrations25 states
AZCACTDEFLGAILMAMDMINCNDNHNJNVNYOHORPASCTNTXVAWAWV
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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