David M. Topper
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 Topper, CFP®, ChFC®, who also goes by David Topper, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, 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
Start date: 2005
Experience
June 5, 2020 - August 23, 2025
CHARLES SCHWAB & CO., INC.
May 23, 2020 - August 23, 2025
CHARLES SCHWAB & CO., INC.
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
March 5, 2015 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
February 23, 2015 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
October 6, 2011 - February 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 2011 - February 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2011 - September 8, 2011
HARRISDIRECT LLC
May 25, 2011 - September 8, 2011
E*TRADE SECURITIES LLC
July 28, 2009 - May 24, 2011
EQUITY SERVICES, INC.
July 27, 2009 - May 24, 2011
EQUITY SERVICES, INC.
June 1, 2009 - July 23, 2009
MORGAN STANLEY
June 1, 2009 - July 23, 2009
MORGAN STANLEY
March 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 15, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 6, 2003 - March 19, 2007
VALIC FINANCIAL ADVISORS, INC.
May 7, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
May 7, 1999 - March 19, 2007
VALIC FINANCIAL ADVISORS, 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 | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 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.
