David M. Oliveras
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 Michael Oliveras, who also goes by David Oliveras, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 12 firms and has passed the Series 65, Series 63, 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
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
November 9, 2016 - October 14, 2022
TD AMERITRADE, INC.
November 9, 2016 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 8, 2016 - July 29, 2024
TD AMERITRADE, INC.
October 1, 2015 - October 19, 2016
HARRISDIRECT LLC
December 4, 2012 - October 19, 2016
E*TRADE SECURITIES LLC
January 14, 2004 - November 15, 2012
CHARLES SCHWAB & CO., INC.
June 10, 2003 - January 7, 2004
DAVID LERNER ASSOCIATES, INC.
October 29, 1999 - July 31, 2001
DIME SECURITIES, INC.
May 14, 1999 - October 18, 1999
KEYBANC CAPITAL MARKETS INC.
June 26, 1998 - May 14, 1999
KEY INVESTMENTS INC.
June 4, 1997 - August 26, 1997
MONTROSE CAPITAL MANAGEMENT LTD.
April 4, 1997 - June 19, 1997
CONTINENTAL BROKER-DEALER CORP.
February 12, 1996 - September 24, 1996
ROYCE INVESTMENT GROUP, 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
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 | 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.
