David Williams
David Williams is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Santa Rosa, CA, with 37 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 Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B 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 | 2.25% |
Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.
Fee Estimator
Location
Santa Rosa, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2003Other Business Activities
David works as an advisory representative of an RIA, spending full-time hours on this activity. He dedicates nearly full-time hours specifically to trading.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Associated Securities CORP.Broker
Ids Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
State Registrations24 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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