David James
David James is a registered investment advisor at Osaic Institutions, INC., based in Concord, NH, with 12 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, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B 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 advisory fee is generally 2.50% and is negotiable between the advisor and client.
Fee Estimator
Location
89 North Main Street, Concord, NH, 03302
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2012Other Business Activities
David is the president of the Plymouth Regional Huskies Football and Cheer, a non-profit organization. He dedicates a few hours per week to this volunteer role.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Citizens Securities, INC.
Citizens Securities, INC.Broker
Santander Securities LLCBroker
Hornor, Townsend & Kent, INC.Broker
PFS Investments INC.Broker
State Registrations12 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
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