David Erwin Dooling
Professional Summary
David Erwin Dooling, who also goes by David Dooling, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in St Louis, Missouri and CHARLES SCHWAB & CO., INC. located in St Louis, Missouri. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Dooling
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Years of Experience
26 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Current Firm
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
Contact Information
Main Address
425 Market Street 17th Floor, San Francisco, CA 94105Phone Number
(415) 667-7000# of Employees
1,457SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
Primary Firm SEC Registration
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
State Registrations and Notice Filings
(6/9/2023)
(1/26/2022)
(9/18/2024)
(1/26/2022)
(1/26/2022)
(9/18/2024)
(1/26/2022)
(2/9/2022)
(1/26/2022)
(9/26/2023)
(1/26/2022)
(9/23/2025)
(10/6/2026)
(2/28/2022)
(1/26/2022)
(1/26/2022)
(1/26/2022)
(2/12/2025)
(9/18/2024)
(10/3/2025)
(1/26/2022)
(7/21/2025)
(10/4/2024)
(1/26/2022)
(9/18/2024)
(1/26/2022)
(1/26/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2000About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2015About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2014About the Series 9 examSRO Registrations
SRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David Erwin Dooling's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CORNERSTONE WEALTH MANAGEMENT, LLC
