Craig M. Davis
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.
Craig Michael Davis, who also goes by Michael Craig Davis, Craig Davis, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1986. Craig had worked at 11 firms and has passed the Series 63, Series 34, Series 3, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2022 - December 24, 2025
CHARLES SCHWAB & CO., INC.
February 4, 2010 - February 9, 2021
W.G. NIELSEN & CO.
December 1, 2006 - February 25, 2009
CBC SECURITIES, INC.
March 11, 2005 - August 11, 2005
AFFILIATED FUNDING CORP.
March 30, 1998 - November 23, 2004
W.G. NIELSEN & CO.
May 9, 1996 - November 26, 1996
KFS BD, INC.
October 17, 1995 - March 19, 1996
DAIN RAUSCHER INCORPORATED
March 25, 1991 - March 21, 1995
KFS BD, INC.
March 4, 1991 - March 25, 1991
UBC INVESTMENT CORPORATION
October 26, 1989 - March 13, 1990
HANIFEN, IMHOFF INC.
February 9, 1987 - October 17, 1989
HAMILTON INVESTMENTS, INC.
June 10, 1986 - October 9, 1986
HAND INVESTMENT COMPANY, INC.
April 18, 1986 - June 10, 1986
BBVA COMPASS INVESTMENT SOLUTIONS, INC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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 | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 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.
