David Harold Finch

The Oak Ridge Financial Services Group, INC

29 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & Coaching

The Oak Ridge Financial Services Group, INC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

31 advisors

Number of Clients

1,501 clients

Average Client Portfolio

$304K average

Assets Under Management

$456.4M

Fee Structure

Location

701 Xenia Avenue S Ste 100, Golden Valley, MN, 55416

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

October 2022

Denied

Criminal

September 1989

Final Disposition

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

The Oak Ridge Financial Services Group, INC.Broker

November 2022 - Present · 3 yrs 3 mos

The Oak Ridge Financial Services Group, INC

November 2022 - Present · 3 yrs 3 mos

Previous Registrations

Ameriprise Financial Services, LLCBroker

October 2009 - November 2022 · 13 yrs 1 mo

Ameriprise Financial Services, LLC

October 2009 - November 2022 · 13 yrs 1 mo

Ameriprise Advisor Services, INC.

June 2006 - October 2009 · 3 yrs 4 mos

H&r Block Financial Advisors, INC.

January 2006 - January 2006 · 0 mos

Ameriprise Advisor Services, INC.Broker

May 2004 - October 2009 · 5 yrs 5 mos

Wachovia Securities, LLCBroker

April 1999 - May 2004 · 5 yrs 1 mo

Pruco Securities CorporationBroker

April 1990 - October 1992 · 2 yrs 6 mos

The Prudential Insurance Company of AmericaBroker

April 1990 - October 1992 · 2 yrs 6 mos

State Registrations18 states

AZCAIAILMDMIMNMONDNENVOHORPASDTXWAWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.