Daniel Findley
Daniel Findley is a registered investment advisor at Oppenheimer & CO. INC., based in St. Louis, MO, with 30 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 Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B 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% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
One North Brentwood Boulevard, Suite 600, St. Louis, MO, 63105
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 2001Other Business Activities
Daniel is a co-trustee of the Daniel P. & Catherine D. Findley Revocable Living Trust, established in August 2023. This activity is not investment-related.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
State Registrations19 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
- Timothy ShockleeOppenheimer & CO. INC.
- Richard StockeOppenheimer & CO. INC.
- Daniel FeichtnerOppenheimer & CO. INC.
- Daniel VatterottOppenheimer & CO. INC.
- Richard LeveyOppenheimer & CO. INC.
- David NaertOppenheimer & CO. INC.