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David Kallman Paton

THE OAK Ridge Financial Services Group, Inc.

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About David Kallman Paton

David Paton is a financial advisor with The Oak Ridge Financial Services Group, Inc. David has been working in the financial services industry for over 30 years. David has a Series 63 and 66 license. David is a registered representative in several states, including Minnesota, Arizona, Florida, New Mexico, Texas, Virginia, and Wisconsin. David is committed to providing personalized financial advice to individuals, families, and businesses.

Firm Information

David Paton is currently registered with THE OAK Ridge Financial Services Group, Inc.. THE OAK Ridge Financial Services Group, Inc. is a corporation headquartered in GOLDEN VALLEY, MN, United States. Founded in March 1997, the firm offers a wide range of financial services, including financial planning, portfolio management for individuals, and selection of other advisers. They have a strong presence across the United States, with state registrations in all 50 states, as well as the District of Columbia and Virgin Islands. With over 30 licensed agents and investment advisor representatives, they serve a diverse clientele, including individuals, high-net-worth individuals, and insurance companies. Their regulatory assets under management exceed $456 million, demonstrating their expertise and experience in managing client assets.
THE OAK Ridge Financial Services Group, Inc.

701 XENIA AVENUE SOUTH

GOLDEN VALLEY, MN 55416-1089

$456.42M

Assets Under Management

Not reported

Total Clients

52

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Paton’s Registration & Firm History

MN

10/20/2023 - Present

THE OAK Ridge Financial Services Group, Inc. (Woodbury MN)

MN

02/03/2006 - 01/22/2019

RBC CAPITAL MARKETS, LLC (ST. PAUL MN)

WI

09/06/2000 - 02/15/2006

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

01/14/2002 - 12/20/2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

NJ

05/12/1993 - 08/30/2001

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NY

10/21/1987 - 04/28/1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/28/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/17/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/08/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/06/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/01/2007

Series 31 - Futures Managed Funds Examination

BC

Issued 10/17/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for David Kallman Paton. Review regulatory record here.
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