David Gaumer, financial advisor McKinney TX
93 score

David Gaumer

CRD Number: 1450256
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Gaumer (CRD# 1450256) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in McKinney, TX and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Mckinney, TX Jan 2015 - Current 1
Merrill Lynch, Pierce, Fenner,smith Incorporated Mckinney, TX Oct 2014 - Current 2
Bbva Securities Inc. Dallas, TX Aug 2014 - Oct 2014 < 1
Bbva Wealth Solutions Inc. Dallas, TX Aug 2014 - Oct 2014 < 1
Compass Bank Dallas, TX Jul 2014 - Oct 2014 < 1
Bank Of America, N.a. Frisco, TX Dec 2011 - Jul 2014 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Frisco, TX Nov 2011 - Jul 2014 2
Wells Fargo Advisors LLC Mckinney, TX Dec 2010 - Nov 2012 1
Wachovia Bank, N.a. Addison, TX Jun 2007 - Dec 2010 3
Wachovia Securities, LLC Addison, TX Jun 2007 - May 2009 1
Liberty Discount Supplies Austin, TX Aug 2006 - Jun 2007 < 1
Axcet Hr Solutions Lenexa, KS May 2006 - Nov 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2007
S65 NASAA Investment Advisors Law Examination Aug 2007
Contact Info for David Gaumer
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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)
  • Other
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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