David A. Schwarzkopf

STRATEGIC ADVISERS LLC

WAXHAW, NC

Some features on this profile are disabled

CRD#: 3071482

Professional summary

David Andrew Schwarzkopf, CFP®, who also goes by David Andrew Schwarzkopf, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Waxhaw, North Carolina and FIDELITY BROKERAGE SERVICES LLC located in Charlotte, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Andrew Schwarzkopf

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 Andrew Schwarzkopf'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 4611 Sharon Rd Two Coltsgate, Charlotte, NC 28211-3529

RIA

CRD#: 104555

WAXHAW, NC

Current

December 20, 2010 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 4611 Sharon Road Two Coltsgate, Charlotte, NC 28211

CRD#: 7784

Charlotte, NC

Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CHARLOTTE, NC

Past

July 12, 2011 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CHARLOTTE, NC

Past

February 25, 2010 - November 18, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTE, NC

Past

January 25, 2010 - November 18, 2010

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CHARLOTTE, NC

Past

January 30, 2006 - April 1, 2009

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CHARLOTTE, NC

Past

January 30, 2006 - April 1, 2009

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTE, NC

Past

July 28, 2004 - January 6, 2006

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

RALEIGH, NC

Past

April 8, 2004 - July 28, 2004

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTE, NC

Past

October 6, 2003 - April 7, 2004

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

RALEIGH, NC

Past

October 6, 2003 - July 22, 2004

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

August 9, 2002 - October 13, 2003

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

PHILADELPHIA, PA

Past

August 6, 1998 - February 20, 2002

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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

Massachusetts
(1/9/2024)

North Carolina
(12/21/2010)

IAR

North Carolina
(3/31/2025)

Texas
(1/9/2024)

Utah
(1/9/2024)

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 65

Date: 7/20/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/5/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/12/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/29/2014

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David A. Schwarzkopf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Andrew Schwarzkopf's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T ASSET MANAGEMENT, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T ASSET MANAGEMENT, INC.

BB&T INVESTMENT SERVICES, INC.

ERNST & YOUNG INVESTMENT ADVISERS LLP

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2002

Series 63

Date: 8/11/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2001

Series 6

Date: 8/5/1998

Series 10

Date: 6/12/2014

Series 9

Date: 3/29/2014

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors