David Carey
David Carey is a registered investment advisor at Oppenheimer & CO. INC., based in San Francisco, CA, with 42 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
580 California Street, Suite 2300, San Francisco, CA, 94104
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Regulatory History (1)
Customer Dispute
October 2009Other Business Activities
David is the trustee or co-successor trustee for several trusts, including family trusts and a non-profit foundation. These activities require minimal time commitment overall.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Oppenheimer Asset Management
Fahnestock Asset Management
Cibc World Markets CORP.
Cibc World Markets CORP.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations31 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.
Exams
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