Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Whitman Fleming is an Investment Advisor Representative at Oppenheimer & Co. Inc. with over 25 years of experience in the industry. David has worked at several firms throughout their career, including Stifel, Nicolaus & Company, Incorporated, Barclays Capital Inc., Deutsche Bank Securities Inc., Compass Point Research & Trading, LLC, Dominick & Dominick LLC, Credit Suisse First Boston LLC, and Donaldson, Lufkin & Jenrette Securities Corporation. David is registered in 12 states and holds various licenses, including Series 3, 7, 9, 10, 24, 66, 99TO, and SIE. David provides financial planning, pension consulting, portfolio management for businesses and individuals, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
05/04/2022 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
CA
12/04/2015 - 05/06/2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN FRANCISCO CA)
CA
08/12/2013 - 12/04/2015
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
05/11/2007 - 09/04/2013
DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)
DC
01/10/2006 - 05/10/2007
COMPASS POINT RESEARCH & TRADING, LLC (WASHINGTON DC)
NY
10/24/2003 - 12/31/2005
DOMINICK & DOMINICK LLC (NEW YORK NY)
NY
11/03/2000 - 10/28/2003
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
08/01/1997 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 11/15/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/27/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 6/7/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/23/2007
Series 24 - General Securities Principal Examination
BC
Issued 5/31/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/7/2014
Series 3 - National Commodity Futures Examination
BC
Issued 7/31/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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