David Alan Humphrey

CRD 2330719 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Dave Humphrey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 6Series 10Series 9Series 8Series 66Series 63
Registered states (15): Alaska · Arizona · California · Colorado · Hawaii · Idaho · Montana · Nevada · New Mexico · New York · Oregon · Texas · Utah · Washington · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (16)

From the source registration record · current first

Schwab Wealth Advisory, Inc.Current
Las Vegas, NV · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.
Henderson, NV · IA capacity

Mar 17, 2021 → Dec 16, 2025
Td Ameritrade, Inc.
Las Vegas, NV · IA capacity

Jun 24, 2016 → Jan 11, 2021
Td Ameritrade, Inc.
Las Vegas, NV · BC capacity

Jun 14, 2016 → Jan 11, 2021
Td Ameritrade Investment Management, LLC
Las Vegas, NV · IA capacity

Jun 23, 2016 → Dec 31, 2020
Valic Financial Advisors, Inc.
Las Vegas, NV · IA capacity

Sep 3, 2015 → May 26, 2016
Valic Financial Advisors, Inc.
Las Vegas, NV · BC capacity

Aug 26, 2015 → May 26, 2016
Fisher Investments
Plano, TX · IA capacity

Aug 4, 2014 → Jul 10, 2015
Gentry Asset Advisory LLC
Las Vegas, NV · IA capacity

Oct 12, 2011 → Aug 1, 2014
Accelerated Capital Group
Las Vegas, NV · BC capacity

Feb 27, 2012 → Jul 31, 2014
Meridian United Capital, LLC
Las Vegas, NV · BC capacity

Oct 7, 2011 → Feb 24, 2012
Strategic Advisers, Inc.
Henderson, NV · IA capacity

Jul 9, 2007 → Sep 21, 2011
Fidelity Brokerage Services LLC
Henderson, NV · BC capacity

Nov 18, 1993 → Sep 20, 2011
W. S. Griffith & Co., Inc.
Hartford, CT · BC capacity

Aug 30, 1993 → Oct 11, 1993
Phoenix Equity Planning Corporation
Hartford, CT · BC capacity

Mar 15, 1993 → Aug 30, 1993

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2330719 ↗ FINRA BrokerCheck record for CRD 2330719 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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