David Schaum, financial advisor Boca Raton FL
51 score

David Schaum

CRD Number: 1099016
Current Firm: Oppenheimer & Company Inc.

David Schaum (CRD# 1099016) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Boca Raton, FL and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Oppenheimer & Company Inc. Boca Raton, FL Jul 2016 - Current < 1
Raymond James & Associates Boca Raton, FL Oct 2012 - Jul 2016 3
Morgan Stanley Smith Barney Boca Raton, FL Jun 2009 - Oct 2012 3
Citigroup Global Markets Inc. Boca Raton, FL Oct 2007 - Jun 2009 1
Ubs Financial Services Inc. Boca Raton, FL Nov 2000 - Oct 2007 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1983
S65 NASAA Investment Advisors Law Examination Jun 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for David B. Schaum
Phone Number: 212-668-8000
Firm Website: http://www.opco.com
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    9,080
    MILLIONS
  • Total Number of Accounts
    19,246
    ACCOUNTS
  • Average Account Value
    $471,802
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
51

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