David Warshaw | Financial Advisor in Roslyn ,NY

55 Lumber Road
Suite 205
Roslyn, NY 11576
Phone: (516) 400-7111

Investment Innovation


The WealthPlan was founded by David Efrem Warshaw, CHFC®, CLU®.
The WealthPlan is a comprehensive financial planning & asset
management practice service clients throughout multiple
generations. The WealthPlan currently manages over $21 million
for over 120 households throughout the country.

10 Years of Experience

General Information
Firm Start Year:   2004
No.of Employees:   1
Insurance License#:   LA-508244
Name of Broker/Dealer:   American Portfolios Financial Services, Inc.
Name of Custodial Firm:   Pershing & TD Ameritrade
States Licensed in:   NY
Number of Years with Current Firm:   4
Work Experience:   I started at American Express Financial Advisors (now Ameriprise) in January of 2004. I opened up The WealthPlan in 2010.
I work with the following types of clients:   Individual Investors , Businesses , Non-Profit Organizations , Investment Clubs
Foreign Languages Serviced:   N/A

Investment Types:   Annuities , Insurance , Exchange Traded Funds (ETFs) , Stocks , Mutual Funds , Bonds , Options & Futures , Alternative Investments , Commodities , Mortgages & Real Estate , FOREX & Currency , Socially Responsible Investments (SRI)

Qualifications & Memberships
Insurance and Annuity Licenses:   Long Term Care , Disability , Annuity , Variable Annuity , Variable Life , Life
Financial Organization Memberships:   Paladin Registry

Firm Information
Firm's Number of Clients:   200
Firm's Number of Planning Clients:   200
Firm's Number of Managed Clients:   150
Assets Managed by Firm:   $21 Million
Advisor's Number of Clients:   200
Advisor's Number of Managed Clients:   150
Advisor's Number of Planning Clients:   200
Assets Managed by Advisor:   $21 Million

Registered Investment Advisor:   Yes
Investment Advisor Representative:   Yes
I am an acknowledged fiduciary:   Yes
Compliance Disclosures in Last 5 years:   I have a clean record
Criminal Disclosures in Last 5 years:   I have a clean record

Compensation & Fees
Fee Structure:   I am a Fee-Based financial professional
Minimum Portfolio Size for New Managed Accounts:   No minimum
Compensation Methods:   Based on Assets
Fee % Based on Assets:   1%
Hourly Rate:   N/A
Flat Fee Rate:   N/A
Additional Details on Charges:   Our models have different fees which can be as low
as 0.6% to 1%.
Minimum Fee Charged for Managed Accounts:   0.85%
Minimum Fee Charged for Hourly Planning Accounts:   N/A
Minimum Fee Charged for Flat Fee Accounts:   N/A

Finance & Accounting Double Major - Finance / Accounting  Washington University - St. Louis, Missouri
September 1999-May 2003


  • Do you have a customer satisfaction or refund policy? We strive for excellence in customer satisfaction. We meet with clients at least 2 times per year, return calls promptly, and do everything we can for an amazing client experience. For example, we do a lot of phone and web conferences so clients can stay home during winter
  • What are your qualifications? What is your education background? Finance & Accoutning Double Major - Washington University in St. Louis, MO Series 7 & 66 Licensee Chartered Financial Consultant (CHFC) Chartered Life Underwriter (CLU)
  • What is your approach to financial planning? Multi-generation comprehensive financial planning is our core competency. The advice is given in the form of a written plan.
  • What services do you offer? Asset Managedment Protection Planning - Life, Disability, and Long Term Care Insurance. Financial Goal Setting - Retirement, Education, Home Tax Planning Estate Planning
  • How many clients do you currently manage? Over 100 households
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David Warshaw

David Warshaw



David graduated from Washington University of St. Louis in 2003
majoring in both finance and accounting. After becoming fully
licensed, he was employed as a financial advisor with Ameriprise
Financial back in 2004. David is a Chartered Financial
Consultant® and Chartered Life Underwriter®. His combined
education and experience position him to offer broad-based
financial advice that our clients can count on. To meet with
David Warshaw, contact us by phone at 516-683-6210.

On a personal level, David enjoys reading books on economics,
financial planning, and politics. He is an avid consumer of media
– including television, movies, and music. Last but not least, he
loves to dance!

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My Services

Financial Advice & Consulting

We offer comprehensive financial planning advice to our clients. This includes asset management, tax, estate, retirement, college, and insurance advice.

Financial Planning for Individuals

We create written financial plans so clients know exactly what they need to save today in order to draw a meaningful retirement income.

Financial Planning for Businesses

We establish retirement plans for business of all sizes as well as advanced insurance strategies for national businesses.

Communities Served


Office Hours

Mon. 10:00 AM - 8:00 PM
Tue. 10:00 AM - 8:00 PM
Wed. 10:00 AM - 8:00 PM
Thu. 10:00 AM - 8:00 PM
Fri. 10:00 AM - 8:00 PM

Compensation Arrangements


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