David A. Monte
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Anthony Monte, CFP®, CLU® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 51, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
May 28, 2020 - May 25, 2024
CHARLES SCHWAB & CO., INC.
May 23, 2020 - May 25, 2024
CHARLES SCHWAB & CO., INC.
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
March 28, 2011 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
March 28, 2011 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
September 22, 2008 - October 11, 2010
FIDELITY BROKERAGE SERVICES LLC
May 7, 2008 - September 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 6, 2008 - September 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 14, 2004 - March 6, 2008
UST SECURITIES CORP.
July 30, 2002 - May 18, 2004
CHARLES SCHWAB & CO., INC.
July 2, 1997 - May 18, 2004
CHARLES SCHWAB & CO., INC.
May 23, 1994 - June 17, 1997
BNY MELLON SECURITIES CORPORATION
January 15, 1986 - October 13, 1993
FIDELITY BROKERAGE SERVICES LLC
May 21, 1985 - November 1, 1985
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/4/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
