Denise B. Davis

Some features on this profile are disabled

CRD#: 3093487

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.

Denise Berryhill Davis, who also goes by Denise Berryhill Abbott, Denise Maria Abbott Huffstetler, Denise Berryhill Huffstetler, was a registered financial professional .

Denise is a previously registered financial professional and started their career in finance in 1998. Denise had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Biography

I am dedicated to working with clients to create financial plans that have a meaningful and significant impact on their lives and strive to provide financial well-being and peace of mind.  I believe every client deserves to have a plan before taking any action, that it is my obligation to ensure they have a plan, and that educated, informed clients will be more likely to make decisions in their best interest.  

Question & Answer

Are you a "fiduciary"?

Aliases

Denise Berryhill Abbott | Denise Maria Abbott Huffstetler | Denise Berryhill Huffstetler

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

UNC Chapel Hill, Chapel Hill, NC

Masters of Arts - English

1987

Sacred Heart College, Belmont, NC

Bachelor of Arts (BA) - Education

1982

Experience

Past

August 11, 2023 - May 17, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Fairfield, CT

Past

August 11, 2023 - May 17, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Fairfield, CT

Past

July 13, 2018 - July 20, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

January 13, 2015 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

FAIRFIELD, CT

Past

January 8, 2015 - July 19, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

STAMFORD, CT

Past

June 18, 2013 - December 9, 2014

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

June 17, 2013 - December 9, 2014

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

February 10, 2012 - June 18, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

January 19, 2012 - June 18, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 6, 2007 - November 29, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HAMDEN, CT

Past

October 30, 2003 - May 17, 2006

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

May 3, 2001 - May 12, 2003

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

August 21, 1998 - February 6, 2001

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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".

CHARLES SCHWAB & CO., INC.

CRD#: 5393 / SEC#: 801-29938, 8-16514

RIA

Registered Investment Advisory firm - SEC (7/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/9/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1998

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: 8/9/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CHARLES SCHWAB & CO., INC.

CRD#: 5393 / SEC#: 801-29938, 8-16514

RIA

Registered Investment Advisory firm - SEC (7/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

3000 Schwab Way, San Francisco, CA 94105

Mailing Address

3000 Schwab Way Sf211mn-08-330, Westlake, TX 76262-8104

Phone number

(817) 859-5000

Established

California since 04/01/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

30,065

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY DISCLOSURE BROCHURE (9/23/2025)

CHARLES SCHWAB & CO., INC. SCHWAB INTELLIGENT PORTFOLIOS SOLUTIONS DISCLOSURE BROCHURE (9/23/2025)

SCHWAB MANAGED ACCOUNT SERVICES DISCLOSURE BROCHURE FOR CLIENTS OF INDEPENDENT INVESTMENT ADVISORS (9/23/2025)

SCHWAB'S MODEL MARKET CENTER DISCLOSURE BROCHURE (9/23/2025)

CS&CO. INC. DISCLOSURE BROCHURE FOR: SCHWAB MANAGED ACCOUNT SVC, SCHWAB MANAGED PORTFOLIOS, SCHWAB FINANCIAL PLANNING SVC (9/23/2025)

SCHWAB ADVISOR NETWORK DISCLOSURE BROCHURE (6/30/2025)

CHARLES SCHWAB & CO., INC. ADVICE SERVICES WITH MORNINGSTAR INVESTMENT MANAGEMENT LLC DISCLOSURE BROCHURE (3/27/2025)

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	248
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/24/2025	Cover Page	Report
01/19/2024	Cover Page	Report
04/14/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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

Denise B. Davis

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

UNC Chapel Hill, Chapel Hill, NC

Sacred Heart College, Belmont, NC

Experience

CHARLES SCHWAB & CO., INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

UST SECURITIES CORP.

DEAM INVESTOR SERVICES, INC.

UST FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2012

Series 63

Date: 10/16/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2001

Series 6

Date: 8/20/1998

Current Firm

CHARLES SCHWAB & CO., INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CHARLES SCHWAB & CO., INC.

TRUST BUT VERIFY

Contact information

Similar Advisors