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David Joseph Cottam

Firm:
National Wealth Management, LLC
Managing Director / Chief Compliance Officer
Type: RIA
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Description

David Cottam an executive and is sole owner of National Wealth Management, LLC, a $141M dollar RIA based in Moonachie, NJ. David has held an industry securities registration for 16 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

David Joseph Cottam has not answered any questions on Financial Q&A.

Top Guides

David Joseph Cottam has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
National Wealth Management, LLC 7 years, 10 months Jul 2005 - Present
Citigroup Global Markets Inc. 3 years, 6 months Dec 2001 - Jun 2005
Merrill Lynch, Pierce, Fenner & Smith Incorporated 5 years, 10 months Feb 1996 - Dec 2001
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/03/2007, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

4 Customer Disputes

1 Investigation Pending

1 Regulatory Event
As of Date
01/03/2007
01/03/2007
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 05/09/1996
Uniform Securities Agent State Law Examination Series 63 04/25/1996
General Securities Representative Examination Series 7 04/10/1996

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees