TrueAdvisor
TrueAdvisor
DD
DD

David Daniel

Citigroup Global Markets INC.
34 Years of Experience
Ventura, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

David Daniel is a registered investment advisor at Citigroup Global Markets INC., based in Ventura, CA, with 34 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.

Citigroup Global Markets INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2418 advisors
Number of Clients
56,938 clients
Average Client Portfolio
$823K average
Assets Under Management
$46.9B

Fee Structure

CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.

View Full SEC Brochure

Location

CWM Retail, Sales, 1011 South Victoria Avenue, Ventura, CA, 93003

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
June 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David is a part owner of Terra Acqua Corp., a plumbing products company, and performs operations review. This takes about 10-20% of his time and is not investment related.

Employment History
Current Registrations
Citigroup Global Markets INC.
August 2007 - Present · 18 yrs 9 mos
Citigroup Global Markets INC.Broker
August 2007 - Present · 18 yrs 9 mos
Citigroup Global Markets INC.
August 2007 - Present · 18 yrs 9 mos
Previous Registrations
TD Ameritrade, INC.Broker
April 2007 - June 2007 · 2 mos
Amerivest Investment Management, LLC
April 2007 - June 2007 · 2 mos
TD Ameritrade, INC.
April 2007 - June 2007 · 2 mos
Citicorp Investment Services
December 2003 - June 2005 · 1 yr 6 mos
Citicorp Investment ServicesBroker
February 2003 - June 2005 · 2 yrs 4 mos
Cal Fed InvestmentsBroker
December 1999 - February 2003 · 3 yrs 2 mos
Investors Capital CORP.Broker
August 1996 - December 1998 · 2 yrs 4 mos
Ba Investment Services, INC.Broker
July 1992 - October 1994 · 2 yrs 3 mos
Federation for Financial IndependenceBroker
April 1991 - July 1991 · 3 mos
Griffin Financial ServicesBroker
June 1986 - February 1991 · 4 yrs 8 mos
Kennedy, Cabot & CO.Broker
March 1986 - June 1986 · 3 mos
Patrick-Riley Securities INC.Broker
January 1986 - February 1986 · 1 mo
State Registrations27 states
AKALARAZCACOCTFLIAIDILMOMTNHNMNVNYOHOKORPATXUTVAVTWAWI
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 financial advisors in Ventura, CA →All financial advisors in California →