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DH

David A. Humphrey

SCHWAB WEALTH ADVISORY
Henderson, NV 89074
Some features on this profile are disabled
CRD#: 2330719
DH

Professional summary

David Alan Humphrey, CFP®, who also goes by Dave Humphrey, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Henderson, Nevada and CHARLES SCHWAB & CO., INC. located in Henderson, Nevada.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Humphrey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Humphrey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

December 16, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2245 Village View Drive Suite 170, Henderson, NV 89074
RIA
CRD#: 159035
Henderson, NV
Current

March 10, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2245 Village View Drive Suite 170, Henderson, NV 89074
RIA
BD
CRD#: 5393
Henderson, NV
Past

March 17, 2021 - December 16, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LONE TREE, CO
Past

June 24, 2016 - January 11, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
LAS VEGAS, NV
Past

June 23, 2016 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Las Vegas, NV
Past

June 14, 2016 - January 11, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
LAS VEGAS, NV
Past

September 3, 2015 - May 26, 2016

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LAS VEGAS, NV
Past

August 26, 2015 - May 26, 2016

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LAS VEGAS, NV
Past

August 4, 2014 - July 10, 2015

FISHER INVESTMENTS

RIA
CRD#: 107342
PLANO, TX
Past

February 27, 2012 - July 31, 2014

ACCELERATED CAPITAL GROUP

BD
CRD#: 41270
LAS VEGAS, NV
Past

October 12, 2011 - August 1, 2014

ASHTON THOMAS PRIVATE WEALTH

RIA
CRD#: 153902
LAS VEGAS, NV
Past

October 7, 2011 - February 24, 2012

MERIDIAN UNITED CAPITAL, LLC

BD
CRD#: 122924
LAS VEGAS, NV
Past

July 9, 2007 - September 21, 2011

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
HENDERSON, NV
Past

November 18, 1993 - September 20, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
HENDERSON, NV
Past

August 30, 1993 - October 11, 1993

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

March 15, 1993 - August 30, 1993

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(1/2/2026)
RR
Arizona
(3/18/2021)
RR
California
(3/11/2021)
RR
Colorado
(3/26/2024)
RR
Hawaii
(3/6/2023)
RR
Idaho
(9/17/2024)
RR
Montana
(1/2/2026)
RR
Nevada
(3/17/2021)
IAR
Nevada
(12/16/2025)
RR
New Mexico
(1/2/2026)
RR
New York
(9/17/2024)
RR
Oregon
(6/21/2023)
RR
Texas
(4/23/2022)
RR
Utah
(5/14/2021)
RR
Washington
(4/22/2022)
RR
Wyoming
(1/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/6/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/11/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Henderson, NV 89074

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