David A. Wallingford

SCHWAB WEALTH ADVISORY

Lone Tree, CO 80124

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CRD#: 2385427

Professional summary

David Alan Wallingford, who also goes by David A Wallingford, David Alan Wallingford, David Wallingford, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David A Wallingford | David Alan Wallingford | David Wallingford

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 Wallingford'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®

None

Experience

Current

May 9, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 159035

Lone Tree, CO

Current

April 17, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 5393

Lone Tree, CO

Past

October 5, 2024 - March 5, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

Past

January 15, 2019 - September 16, 2019

HARRISDIRECT LLC

RIA

CRD#: 42159

Denver, CO

Past

January 15, 2019 - September 16, 2019

E*TRADE SECURITIES LLC

CRD#: 29106

DENVER, CO

Past

May 2, 2018 - September 17, 2018

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

DENVER, CO

Past

May 2, 2018 - September 17, 2018

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

DENVER, CO

Past

June 27, 2017 - March 8, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

September 11, 2007 - March 8, 2018

SCOTTRADE, INC.

CRD#: 8206

WESTMINSTER, CO

Past

November 1, 2005 - July 10, 2007

SCOTTRADE, INC.

CRD#: 8206

PORTLAND, OR

Past

June 17, 2004 - October 19, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

PORTLAND , OR

Past

February 11, 2004 - October 19, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

August 7, 2002 - February 19, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

November 29, 2001 - December 21, 2001

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

August 31, 1995 - May 11, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 7, 1994 - August 18, 1995

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

CLAYTON, MO

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".

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.

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

California
(7/25/2025)

Colorado
(4/17/2025)

IAR

Colorado
(5/9/2025)

Nevada
(7/25/2025)

Oregon
(8/26/2025)

Texas
(4/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/9/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/17/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/4/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/13/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/4/1994

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/28/1993

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

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Firm Stability Insights

David A. Wallingford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

SCOTTRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

WADDELL & REED

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CHARLES SCHWAB & CO., INC.

COMMERCE BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/9/2025

Series 63

Date: 10/17/2024

Series 7TO

Date: 10/4/2024

SIE

Date: 9/13/2024

Series 7

Date: 2/4/1994

Series 52

Date: 7/28/1993

Series 24

Date: 12/29/2005

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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