David Wood
David Wood is a ChFC-designated registered investment advisor at Osaic Advisory Services, LLC, based in Frankfort, KY, with 32 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
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.