David Dunning
David Dunning is a CFP-designated registered investment advisor at Commonwealth Financial Network, based in Fredonia, NY, with 10 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 10 more. Their firm serves 360,488 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $750K | 2.25% |
| $750K - $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2M+ | 1.50% |
Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.
Fee Estimator
Location
66 East Main Street, Fredonia, NY, 14063
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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 Activities
David operates Chadwick Bay Financial Services as a DBA for his LPL business and provides investment advisory services through Private Advisor Group, dedicating full-time hours to these investment-related activities. He also has a business entity, Dunning Solutions LLC, for tax/investment purposes, spending about a quarter of his time on it.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Private Advisor Group, LLC
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
State Registrations8 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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