DP
David K. Paton
THE OAK RIDGE FINANCIAL SERVICES GROUP
Woodbury, MN 55125
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CRD#: 1746167
DP
Professional summary
David Kallman Paton is a registered financial advisor currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Woodbury, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Neighbors Inc. - non/profit/not investment related - 222 Grand Avenue St Paul MN, 55075, Treasurer, - review orgs financial and receipts with President/CEO and two additional board members. Not a singular signor. Started 06-2020, 8 -10 hours a month not during trading hours). No BD clients involved. Neighborhood food-shelf also providing transportation. Black Oak Lake Preservation - non/profit/not investment related - Land-O-Lakes, WI, Treasurer, collect fees/work with the President as needed/pay vendors. Not a singular signor. Started 07-2023, 2-3 hours a month not during trading hours. No BD clients involved. Volunteer position dedicated to focusing on water quality and enhancing recreational features.
CRS (Client Relationship Summary) - RIA
Click below to view David Kallman Paton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Kallman Paton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 23, 2019 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 539 Bielenberg Dr - Suite 100, Woodbury, MN 55125RIA
BD
CRD#: 42941
Woodbury, MN
Current
January 23, 2019 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 539 Bielenberg Dr - Suite 100, Woodbury, MN 55125RIA
BD
CRD#: 42941
Woodbury, MN
Past
January 29, 2008 - January 22, 2019
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ST. PAUL, MN
Past
February 3, 2006 - January 22, 2019
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ST. PAUL, MN
Past
January 14, 2002 - December 20, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
September 6, 2000 - February 15, 2006
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
May 12, 1993 - August 30, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 21, 1987 - April 28, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/30/2019)
RR
Arizona(3/29/2019)
IAR
Arizona(11/7/2023)
RR
Florida(5/8/2019)
IAR
Florida(10/20/2023)
RR
Georgia(1/23/2019)
RR
Illinois(4/17/2019)
RR
Indiana(1/23/2019)
RR
Maryland(1/23/2019)
RR
Minnesota(1/24/2019)
IAR
Minnesota(1/25/2019)
RR
New Mexico(1/23/2019)
IAR
New Mexico(10/20/2023)
RR
Oregon(2/22/2019)
RR
South Dakota(1/23/2019)
IAR
Texas(1/23/2019)
RR
Texas(12/1/2022)
RR
Virginia(1/23/2019)
IAR
Virginia(10/20/2023)
RR
Wisconsin(1/23/2019)
IAR
Wisconsin(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941Woodbury, MN 55125TRUST BUT VERIFY
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