DF
David H. Finch
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
Some features on this profile are disabled
CRD#: 2031060
DF
Professional summary
David Harold Finch is a registered financial advisor currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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.
Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.
CRS (Client Relationship Summary) - RIA
Click below to view David Harold Finch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Harold Finch'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
November 9, 2022 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Current
November 10, 2022 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Past
October 5, 2009 - November 9, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LAKE ELMO, MN
Past
October 5, 2009 - November 9, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LAKE ELMO, MN
Past
June 30, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
LAKE ELMO, MN
Past
January 30, 2006 - January 30, 2006
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
LAKE ELMO, MN
Past
May 17, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
LAKE ELMO, MN
Past
April 19, 1999 - May 19, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 9, 1990 - October 23, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 9, 1990 - October 23, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arizona(11/10/2022)
IAR
Arizona(10/23/2023)
RR
California(11/10/2022)
RR
Illinois(11/23/2022)
IAR
Illinois(10/16/2023)
RR
Iowa(11/17/2022)
IAR
Iowa(10/16/2023)
RR
Maryland(11/10/2022)
RR
Michigan(11/10/2022)
IAR
Michigan(10/16/2023)
RR
Minnesota(11/16/2022)
IAR
Minnesota(11/16/2022)
RR
Missouri(11/28/2022)
IAR
Missouri(10/23/2023)
RR
Nebraska(11/10/2022)
RR
Nevada(11/10/2022)
RR
North Dakota(11/10/2022)
RR
Ohio(11/10/2022)
IAR
Ohio(10/7/2025)
RR
Oregon(11/18/2022)
RR
Pennsylvania(11/10/2022)
RR
South Dakota(11/17/2022)
IAR
Texas(11/9/2022)
RR
Texas(11/10/2022)
RR
Washington(11/10/2022)
RR
Wisconsin(11/17/2022)
IAR
Wisconsin(10/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
