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David Faber

Raymond James Financial Services Advisors, INC
35 Years of Experience
Bourbonnais, IL
1 DisclosureBrokerSells Insurance
View SEC Summary
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David Faber is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Bourbonnais, IL, with 35 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 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

1521 North Covent, Suite 400, Bourbonnais, IL, 60914

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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
November 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is the owner of Faber Financial Group and FFG-I, LLC, both support companies, and spends minimal time on these. He is also an agent and owner of FFG-H, LLC DBA Faber Financial Insurance Services, an insurance agency selling various insurance products, dedicating a few hours per week.

Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
February 2011 - Present · 15 yrs 8 mos
Raymond James Financial Services Advisors, INC
February 2011 - Present · 15 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - March 2011 · 1 yr 9 mos
Morgan Stanley Smith Barney LLC
June 2009 - March 2011 · 1 yr 9 mos
Citigroup Global Markets INC.
March 2002 - June 2009 · 7 yrs 3 mos
Citigroup Global Markets INC.Broker
February 2002 - June 2009 · 7 yrs 4 mos
Pruco Securities CorporationBroker
October 1990 - February 2002 · 11 yrs 4 mos
The Prudential Insurance Company of AmericaBroker
October 1990 - December 1993 · 3 yrs 2 mos
State Registrations21 states
ALAZCACOFLGAIAILINKYMIMOMSNJOHORSCTNTXWAWI
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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