David Erwin Dooling

CRD 4150142 · Charles Schwab & Co., Inc. · St Louis, MO

IA RegisteredBroker

Also appears in the source record as: David Dooling

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 66Series 65Series 63
Registered states (25): Alabama · Arizona · California · Colorado · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Maine · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · New York · Ohio · Tennessee · Texas · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 26
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 (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
St Louis, MO · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
St Louis, MO · IA capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
St Louis, MO · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Clayton, MO · BC capacity

Feb 26, 2018 → Jul 29, 2024
Td Ameritrade Investment Management, LLC
Clayton, MO · IA capacity

Feb 27, 2023 → Sep 7, 2023
Td Ameritrade, Inc.
Clayton, MO · IA capacity

Feb 27, 2018 → Oct 14, 2022
Scottrade Investment Management
Saint Louis, MO · IA capacity

Apr 28, 2017 → Feb 26, 2018
Scottrade, Inc.
Edwardsville, IL · BC capacity

Apr 16, 2013 → Feb 26, 2018
Alton Capital Management, Inc.
Alton, IL · IA capacity

Nov 26, 2007 → Dec 21, 2012
Alton Securities Group Inc.
Alton, IL · BC capacity

Nov 26, 2007 → Dec 21, 2012
Metlife Securities Inc.
Godfrey, IL · IA capacity

Dec 1, 2005 → Nov 29, 2007
Metlife Securities Inc.
Alton, IL · BC capacity

Dec 1, 2005 → Nov 29, 2007
Metropolitan Life Insurance Company
Alton, IL · BC capacity

Dec 1, 2005 → Jul 9, 2007
Citistreet Financial Services LLC
Alpharetta, GA · IA capacity

Jun 15, 2000 → Jan 6, 2006
Citistreet Equities LLC
Somerset, NJ · BC capacity

Apr 7, 2000 → Dec 31, 2005

Source & corrections

Where this page comes from

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