David W. Feeley
RED OAK FINANCIAL GROUP
Towson, MD 21204
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CRD#: 7388746
Professional summary
David Wroth Feeley, CFP® is a registered financial advisor currently at RED OAK FINANCIAL GROUP located in Towson, Maryland and LPL FINANCIAL LLC located in Towson, Maryland.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. David has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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.
1) 02/14/2022 - Red Oak Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 02/22/2022 - Red Oak Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Registered Admin - Start Date: 05/2021 - 160 Hours Per Month/90 Hours During Securities Trading - Time Spent 90% - I provide administrative support to Red Oak Financial Group., an independent investment advisor firm. I started this business activity in 2/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate and independent of LPL Financial. 3) 02/22/2022 - LPL Financial LLC - Investment Related - At Reported Business Location(s) - Broker Dealer - Registered Representative - Start Date: 06/2021 - Appx. 10 Hrs/Mnth.
CRS (Client Relationship Summary) - RIA
Click below to view David Wroth Feeley'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®
CFP®
Start date: 2023
Experience
Current
August 23, 2021 - Present
RED OAK FINANCIAL GROUP
Office #1: 403 Allegheny Avenue, Towson, MD 21204RIA
CRD#: 166912
Towson, MD
Current
February 25, 2022 - Present
LPL FINANCIAL LLC
Office #1: 403 Allegheny Ave, Towson, MD 21204-4214RIA
BD
CRD#: 6413
Towson, MD
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".
RO
RED OAK FINANCIAL GROUP
COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC
CRD#: 166912 / SEC#: 801-80860
RIA
Registered Investment Advisory firm - (1/21/2015 Approved)Maryland
Registered Investment Advisory firm - (5/26/2015 Terminated)Texas
Registered Investment Advisory firm - (5/12/2015 Terminated)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
Delaware(1/17/2025)
RR
Florida(1/18/2024)
IAR
Maryland(8/23/2021)
RR
Maryland(2/25/2022)
RR
Pennsylvania(1/17/2025)
RR
Virginia(1/17/2025)
RR
West Virginia(1/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RO
RED OAK FINANCIAL GROUP
COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC
CRD#: 166912 / SEC#: 801-80860
RIA
Registered Investment Advisory firm - (1/21/2015 Approved)Maryland
Registered Investment Advisory firm - (5/26/2015 Terminated)Texas
Registered Investment Advisory firm - (5/12/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
403 Allegheny Avenue, Towson, MD 21204
Mailing Address
Phone number
(410) 321-0168
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,700 |
| AUM (Assets Under Management) | $ 836,788,025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
