David A. Oring

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CRD#: 2522864

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Adam Oring was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2002. David had worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 5, 2009 - April 17, 2024

HOLLOW BROOK WEALTH MANAGEMENT LLC

RIA

CRD#: 145521

NEW YORK, NY

Past

January 7, 2008 - August 3, 2010

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

NEW YORK, NY

Past

March 22, 2007 - January 2, 2008

INGALLS & SNYDER, LLC

CRD#: 2288

NEW YORK, NY

Past

July 15, 2002 - March 19, 2007

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

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".

HOLLOW BROOK WEALTH MANAGEMENT LLC

HOLLOW BROOK ADVISORS | HOLLOW BROOK WEALTH MANAGEMENT LLC | HOLLOW BROOK ASSOCIATES LLC

CRD#: 145521 / SEC#: 801-68599

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/2/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/13/2002

General Securities Representative Examination

Current Firm

HOLLOW BROOK WEALTH MANAGEMENT LLC

HOLLOW BROOK ADVISORS | HOLLOW BROOK WEALTH MANAGEMENT LLC | HOLLOW BROOK ASSOCIATES LLC

CRD#: 145521 / SEC#: 801-68599

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

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Contact information

Main Address

152 Bedford Road, Katonah, NY 10536

Mailing Address

Phone number

(212) 364-1848

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOLLOW BROOK PART 2 MARCH 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	538
AUM (Assets Under Management)	$ 1,197,072,975

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.

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David A. Oring

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HOLLOW BROOK WEALTH MANAGEMENT LLC

C. L. KING & ASSOCIATES, INC.

INGALLS & SNYDER, LLC

KEEFE, BRUYETTE & WOODS, INC.

Primary Firm SEC Registration

HOLLOW BROOK WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/2002

Series 7

Date: 7/13/2002

Current Firm

HOLLOW BROOK WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOLLOW BROOK WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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