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David Goldenberg

The Oak Ridge Financial Services Group, INC
30 Years of Experience
Golden Valley, MN
1 DisclosureBroker
View SEC Summary
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David Goldenberg is a registered investment advisor at The Oak Ridge Financial Services Group, INC, based in Golden Valley, MN, with 30 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 Investment Management, Retirement Planning. Their firm serves 1,005 clients with $670M in assets under management.

The Oak Ridge Financial Services Group, INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
33 advisors
Number of Clients
1,005 clients
Average Client Portfolio
$665K average
Assets Under Management
$668.6M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees vary from 0.25% to 2.25% on managed assets, not to exceed a maximum cumulative fee of 2.50%. Third-party managers may establish their own independent fee schedules.

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

Location

701 Xenia Ave. South, Suite 100, Golden Valley, MN, 55416-1089

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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
October 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David owns Comm Clean Services, an office cleaning service, since 2016. He spends about 10-20% of his time on this, with minimal time during trading hours.

Employment History
Current Registrations
The Oak Ridge Financial Services Group, INC.Broker
September 2018 - Present · 8 yrs 1 mo
The Oak Ridge Financial Services Group, INC
September 2018 - Present · 8 yrs 1 mo
Previous Registrations
Feltl Advisors
July 2014 - September 2018 · 4 yrs 2 mos
Feltl & CompanyBroker
July 2014 - September 2018 · 4 yrs 2 mos
Robert W. Baird & CO. Incorporated
March 2008 - July 2014 · 6 yrs 4 mos
Robert W. Baird & CO. IncorporatedBroker
March 2008 - July 2014 · 6 yrs 4 mos
Wells Fargo Investments, LLC
May 2004 - March 2008 · 3 yrs 10 mos
Wells Fargo Brokerage Services, L.L.C.Broker
December 2000 - August 2002 · 1 yr 8 mos
Wells Fargo Investments, LLCBroker
December 2000 - March 2008 · 7 yrs 3 mos
Wells Fargo Securities INC.Broker
October 2000 - May 2001 · 7 mos
Wells Fargo Brokerage Services, L.L.C.Broker
September 2000 - December 2000 · 3 mos
A. G. Edwards & Sons, INC.Broker
March 1996 - September 2000 · 4 yrs 6 mos
State Registrations18 states
AZCACOFLGAIALAMNNDNENJNVNYRISCSDUTWI
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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