David A. Wallingford
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 Alan Wallingford, who also goes by David A Wallingford, David Alan Wallingford, David Wallingford, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2025 - February 25, 2026
SCHWAB WEALTH ADVISORY, INC.
April 17, 2025 - February 25, 2026
CHARLES SCHWAB & CO., INC.
October 5, 2024 - March 5, 2025
FIDELITY BROKERAGE SERVICES LLC
January 15, 2019 - September 16, 2019
HARRISDIRECT LLC
January 15, 2019 - September 16, 2019
E*TRADE SECURITIES LLC
May 2, 2018 - September 17, 2018
BANCWEST INVESTMENT SERVICES, INC.
May 2, 2018 - September 17, 2018
BANCWEST INVESTMENT SERVICES, INC.
June 27, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 11, 2007 - March 8, 2018
SCOTTRADE, INC.
November 1, 2005 - July 10, 2007
SCOTTRADE, INC.
June 17, 2004 - October 19, 2005
TD AMERITRADE, INC.
February 11, 2004 - October 19, 2005
TD AMERITRADE, INC.
August 7, 2002 - February 19, 2003
WADDELL & REED
November 29, 2001 - December 21, 2001
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 31, 1995 - May 11, 2000
CHARLES SCHWAB & CO., INC.
February 7, 1994 - August 18, 1995
COMMERCE BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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 7TO
Date: 10/4/2024
General Securities Representative ExaminationCurrent Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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