David Wood
David Wood is a ChFC-designated registered investment advisor at Osaic Advisory Services, LLC, based in Frankfort, KY, with 33 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, Corporate Executives, and 7 more. Their firm serves 29,898 clients with $15B 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 | 2.50% |
Fees are negotiated between the advisor and the client. The maximum annual fee allowed is 2.50%. Fees can be billed as flat, linear, or tiered rates.
Fee Estimator
Location
307 Washington Street, Frankfort, KY, 40601
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
April 1995Other Business ActivitiesSells Insurance
David works as a registered representative for CTM Financial Group, focusing on insurance sales, and dedicates about half his time to this. He is also an Investment Advisor Representative with Arbor Point Advisors, spending about a quarter of his time in this role.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.Broker
Previous Registrations
Arbor Point Advisors
Securities America, INC.Broker
Fsc Securities CorporationBroker
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Jefferson-Pilot Investor Services, INC.Broker
Marketing One Securities, INC.Broker
State Registrations2 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
More Advisors
- Robert Groce, CFPOsaic Advisory Services, LLC
- Michael Wilkerson, CFPOsaic Advisory Services, LLC
- James ClouseOsaic Advisory Services, LLC
- Robert Brown, ChFCState Farm Investment Management CORP.