David John Tierney

CRD 2662800 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: D.J. Tierney; D Tierney; Dj Tierney

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 3Series 24Series 10Series 9Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 30
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 (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Orinda, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Orinda, CA · IA capacity

start not retrieved → present
Morgan Stanley & Co. LLC
San Francisco, CA · BC capacity

Feb 24, 2000 → Apr 5, 2016
Morgan Stanley Market Products Inc.
San Francisco, CA · BC capacity

Feb 24, 2000 → Oct 29, 2008
Salomon Smith Barney Inc.
New York, NY · BC capacity

Nov 28, 1997 → Feb 14, 2000
Salomon Brothers Inc.
New York, NY · BC capacity

Nov 7, 1995 → Sep 1, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2662800 ↗ FINRA BrokerCheck record for CRD 2662800 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.