David Oldham
David Oldham is a registered investment advisor at Gwn Securities INC., based in Norwalk, CT, 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 Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 37,793 clients with $4.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1M+ | 0.50% |
Schedule represents the standard GWN Managed Account Program. Other programs such as Premier, Total Access, and FMAX have separate fee schedules or negotiable rates up to 2.00%.
Fee Estimator
Location
70 New Canaan Ave., Norwalk, CT, 06850
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2003Customer Dispute
December 2003Other Business ActivitiesSells Insurance
David is involved with Oldham Resource Group, selling fixed insurance and annuities. This activity is investment-related.
Employment History
Current Registrations
Gwn Securities INC.
Gwn Securities INC.Broker
Previous Registrations
National Asset Management, INC.
National Securities CorporationBroker
Asset & Financial Planning, LTD
Prime Capital Services, INC.Broker
Nathan & Lewis Securities, INC.Broker
State Registrations29 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
More Advisors
- Vincent BatyrGwn Securities INC.
- Jennifer Huisking, CFP, ChFCGoldman Sachs & CO. LLC
- Marc Mungin, ChFCLincoln Investment
- Jose Vivero, CFP, ChFCUnited Financial Planning Group LLC
- Brian Shea, CFPShea Financial Advisors
- Matthew Wunder, CFPNorthwestern Mutual Investment Services,llc