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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

DAVID ANDREW MCGAUGHEY

Advisor at OPPENHEIMER & CO. INC.

WASHINGTON, DC | VIENNA, VA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 27, 1996 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OPPENHEIMER & CO. INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 25, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: May 25, 1993
First registration: Sep 27, 1996
Dual registered: yes, broker-dealer
Other names: DAVID ANDREW MCGAUGHEY|DAVID ANDREW MC GAUGHEY
IAPD individual key: 2332821

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Aug 25, 2020	n/a	yes	WASHINGTON, DC\|VIENNA, VA\|VIENNA, VA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 11, 2012	Aug 10, 2020	no	VIENNA, VA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 13, 2009	Jan 19, 2012	no	Vienna, VA	Previous registration
FERRIS, BAKER WATTS, LLC	n/a	Jun 30, 2006	Mar 13, 2009	no	FREDERICK, MD\|GAITHERSBURG, MD\|MCLEAN, VA	Previous registration
JOHNSTON LEMON ASSET MANAGEMENT INC	Former SEC adviser	Sep 27, 1996	Jun 30, 2006	no	WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	OPPENHEIMER & CO. INC.	Aug 10, 2020	Aug 25, 2020	15	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 19, 2012	Jan 11, 2012	-8	Firm change	Ibd to ibd
FERRIS, BAKER WATTS, LLC	RBC CAPITAL MARKETS, LLC	Mar 13, 2009	Mar 13, 2009	0	Bulk transfer	Other
JOHNSTON LEMON ASSET MANAGEMENT INC	FERRIS, BAKER WATTS, LLC	Jun 30, 2006	Jun 30, 2006	0	Firm change	Other

Relationships

Registered with (5)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Aug 25, 2020 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 11, 2012 to Aug 10, 2020factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 13, 2009 to Jan 19, 2012factForm ADV
→ FERRIS, BAKER WATTS, LLCRegistered adviserregistration: previous registration
Jun 30, 2006 to Mar 13, 2009factForm ADV
→ JOHNSTON LEMON ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Sep 27, 1996 to Jun 30, 2006factForm ADV

Dated events

No dated event names this entity yet.