Daniel Stephen Giuntini

CRD 5051192 · Charles Schwab & Co., Inc. · Scarsdale, NY

IA RegisteredBroker

Also appears in the source record as: David Stephen Giuntini

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (18): Arizona · California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Maine · Massachusetts · Missouri · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · South Carolina · Texas · Vermont
Years in the industry (source record): 19
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 (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Scarsdale, NY · IA capacity

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

start not retrieved → present
Td Ameritrade, Inc.
Scarsdale, NY · BC capacity

Oct 18, 2010 → Jul 29, 2024
Td Ameritrade Investment Management, LLC
Scarsdale, NY · IA capacity

Oct 8, 2010 → Sep 7, 2023
Td Ameritrade, Inc.
Scarsdale, NY · IA capacity

Oct 8, 2010 → Oct 14, 2022
Chase Investment Services Corp.
Whiteplains, NY · IA capacity

Dec 3, 2009 → Sep 29, 2010
Chase Investment Services Corp.
Whiteplains, NY · BC capacity

Dec 2, 2009 → Sep 29, 2010
Citigroup Global Markets Inc.
Westbury, NY · IA capacity

May 29, 2007 → Jun 22, 2009
Citigroup Global Markets Inc.
Westbury, NY · BC capacity

May 29, 2007 → Jun 22, 2009
Citicorp Investment Services
South Westbury, NY · IA capacity

Apr 24, 2007 → May 29, 2007
Citicorp Investment Services
South Westbury, NY · BC capacity

Nov 15, 2006 → May 29, 2007
Pointe Capital, LLC
Huntington, NY · BC capacity

Dec 13, 2005 → Apr 28, 2006

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 5051192 ↗ FINRA BrokerCheck record for CRD 5051192 ↗ 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.