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David Moreno

Benjamin F. Edwards & Company, Incorporated
39 Years of Experience
Greenwood Village, CO
2 DisclosuresBroker
View SEC Summary
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David Moreno is a registered investment advisor at Benjamin F. Edwards & Company, Incorporated, based in Greenwood Village, CO, with 39 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 Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 33,057 clients with $19B in assets under management.

Benjamin F. Edwards & Company, Incorporated
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
518 advisors
Number of Clients
33,057 clients
Average Client Portfolio
$572K average
Assets Under Management
$18.9B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum total wrap fee is 2.50% annually, combining advisor and manager fees. Specific strategy rates vary, and fees are fully negotiable.

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

Location

5445 DTC Parkway, Suite 1020, Greenwood Village, CO, 80111

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History

Regulatory History (2)
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
March 2003
Closed-No Action
Regulatory
September 1995
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Benjamin F. Edwards & Company, Incorporated
January 2014 - Present · 12 yrs 9 mos
Benjamin F. Edwards & Company, INC.Broker
January 2014 - Present · 12 yrs 9 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2008 - January 2014 · 6 yrs
Wells Fargo Advisors, LLCBroker
January 2008 - January 2014 · 6 yrs
A. G. Edwards & Sons, INC.
August 2001 - January 2008 · 6 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
July 2001 - January 2008 · 6 yrs 6 mos
Kirkpatrick, Pettis, Smith, Polian INC.Broker
November 1997 - August 2001 · 3 yrs 9 mos
Cohig & Associates, INC.Broker
February 1994 - November 1997 · 3 yrs 9 mos
Schneider Securities, INC.Broker
May 1992 - January 1994 · 1 yr 8 mos
Pacific Southern Securities, INC.Broker
May 1988 - May 1992 · 4 yrs
Xcel Securities, INC.Broker
November 1986 - January 1988 · 1 yr 2 mos
State Registrations14 states
CACOFLGAIAILMTNCNMNYOKRITXUT
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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