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DW
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Daniel Witham

LPL Financial LLC
34 Years of Experience
Tulsa, OK
7 DisclosuresBroker
View SEC Summary
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Daniel Witham is a registered investment advisor at LPL Financial LLC, based in Tulsa, OK, with 34 years of industry experience. Daniel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

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

Location

8516 E. 101st St., Suite C, Tulsa, OK, 74133

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History

Regulatory History (7)
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 2021
Denied
Financial
November 2018
Final
Financial
August 2018
Pending
Financial
July 2018
Pending
Judgment / Lien
June 2018
Judgment / Lien
June 2018
Customer Dispute
May 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Daniel operates DW Financial Services, Inc. as a DBA for his LPL business. He also owns Lawman Shave Products, dedicating a few hours per week, and is publishing a book, also dedicating a few hours per week.

Employment History
Current Registrations
LPL Financial LLC
June 2008 - Present · 18 yrs 4 mos
LPL Financial LLCBroker
June 2008 - Present · 18 yrs 4 mos
Previous Registrations
Raymond James Financial Services
July 2006 - June 2008 · 1 yr 11 mos
Raymond James Financial Services, INC.Broker
June 2006 - June 2008 · 2 yrs
Cambridge Investment Research Advisors, INC.
February 2006 - July 2006 · 5 mos
Cambridge Investment Research, INC.Broker
February 2006 - July 2006 · 5 mos
Uvest Financial Services Group, INC.
August 2004 - February 2006 · 1 yr 6 mos
Uvest Financial Services Group, INC.Broker
August 2004 - February 2006 · 1 yr 6 mos
Century Securities Associates INC
April 2004 - August 2004 · 4 mos
Century Securities Associates, INC.Broker
April 2004 - August 2004 · 4 mos
Century Securities Associates INC
April 2004 - April 2004 · 0 mos
Royal Alliance Associates, INC.
July 2003 - March 2004 · 8 mos
Royal Alliance Associates, INC.Broker
May 2003 - March 2004 · 10 mos
Morgan Stanley
October 1997 - December 2002 · 5 yrs 2 mos
Morgan Stanley Dw INC.Broker
April 1996 - December 2002 · 6 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1991 - April 1996 · 4 yrs 10 mos
State Registrations25 states
ARAZCACOFLILKSKYMAMNMONCNENVNYOHOKORPASCTXUTVAWVWY
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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