David Carroll is a registered investment advisor at Cwm, LLC, based in Omaha, NE, with 31 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 2 more. Their firm serves 52,669 clients with $51B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CWM, LLC charges an annual fee based on a percentage of the value of your investments. This fee can be up to 2.50% annually. The exact fee is negotiable and depends on factors like the size of your account, the types of assets, and the complexity of your situation. Different investment advisor representatives may charge different fees for the same services. CWM retains a portion of the fee for administrative and support services. Fees are typically deducted from your account quarterly.
Location
14600 Branch Street, Omaha, NE, 68154
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is a fixed/traditional insurance agent with PKSF since 2020, selling fixed/traditional insurance products. This takes a few hours per week, all during trading hours.
Employment History
Current Registrations
Cwm, LLC
Previous Registrations
Elk River Wealth Management LLC
Purshe Kaplan Sterling InvestmentsBroker
LPL Financial LLC
LPL Financial LLCBroker
First National Capital Markets, INC.
First National Capital MarketsBroker
Primevest Financial Services, INC.
Primevest Financial Services, INC.Broker
Bisys Brokerage Services, INC.Broker
Corelink Financial, INC.Broker
Norwest Investment Services, INC.Broker
State Registrations1 state
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.