David OmanCRD Number: 1007146
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
David Oman (CRD# 1007146) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Salt Lake City, UT and has over 36 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Bank Of America, N.a.||Salt Lake City, UT||Jan 2011 - Current||7|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Salt Lake City, UT||Jun 1981 - Current||36|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1981|
|S65||NASAA Investment Advisors Law Examination||Aug 1994|
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:
- Customer Dispute
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY