David Roger Fern

CRD 2849854 · Charles Schwab & Co., Inc. · Southlake, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): SIESeries 7Series 6Series 10Series 24Series 9Series 23Series 8Series 66Series 65Series 63
Registered states (22): Arizona · California · Colorado · Florida · Idaho · Illinois · Kentucky · Louisiana · Maine · Maryland · Nevada · New Mexico · New York · Oklahoma · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 29
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 (6)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Southlake, TX · IA capacity

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

start not retrieved → present
Northwestern Mutual Investment Services, LLC
Milwaukee, WI · BC capacity

Feb 13, 1998 → Aug 26, 2002
Robert W. Baird & Co. Incorporated
Milwaukee, WI · BC capacity

Jan 6, 1998 → Jan 1, 2002
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Feb 5, 1997 → Jan 20, 1998
Eq Financial Consultants, Inc.
New York, NY · BC capacity

Feb 5, 1997 → Jan 20, 1998

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 2849854 ↗ FINRA BrokerCheck record for CRD 2849854 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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.