David E. Dooling

SCHWAB WEALTH ADVISORY

St Louis, MO 63141

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CRD#: 4150142

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 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Dooling

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 Erwin Dooling'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®

None

Experience

Current

February 12, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 500 Maryville University Drive, St Louis, MO 63141

RIA

CRD#: 159035

St Louis, MO

Current

January 26, 2022 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 500 Maryville University Drive, St Louis, MO 63141

RIA

CRD#: 5393

St Louis, MO

Past

February 27, 2023 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Clayton, MO

Past

February 27, 2023 - February 12, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Clayton, MO

Past

January 26, 2022 - February 24, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Clayton, MO

Past

February 27, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Clayton, MO

Past

February 26, 2018 - February 24, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Clayton, MO

Past

February 26, 2018 - July 29, 2024

TD AMERITRADE, INC.

CRD#: 7870

Clayton, MO

Past

April 28, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

April 16, 2013 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

EDWARDSVILLE, IL

Past

November 26, 2007 - December 21, 2012

ALTON CAPITAL MANAGEMENT, INC.

RIA

CRD#: 123674

ALTON, IL

Past

November 26, 2007 - December 21, 2012

ALTON SECURITIES GROUP INC.

CRD#: 39639

ALTON, IL

Past

December 1, 2005 - November 29, 2007

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

GODFREY, IL

Past

December 1, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

ALTON, IL

Past

December 1, 2005 - November 29, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ALTON, IL

Past

June 15, 2000 - January 6, 2006

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

ALPHARETTA , GA

Past

April 7, 2000 - December 31, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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

Alabama
(6/9/2023)

Arizona
(1/26/2022)

California
(9/18/2024)

Colorado
(1/26/2022)

Florida
(1/26/2022)

Georgia
(9/18/2024)

Illinois
(1/26/2022)

Indiana
(2/9/2022)

Iowa
(1/26/2022)

Kansas
(9/26/2023)

Kentucky
(1/26/2022)

Maine
(9/23/2025)

Massachusetts
(2/28/2022)

Michigan
(1/26/2022)

Minnesota
(1/26/2022)

Missouri
(1/26/2022)

IAR

Missouri
(2/12/2025)

Montana
(9/18/2024)

Nebraska
(10/3/2025)

New York
(1/26/2022)

Ohio
(7/21/2025)

Tennessee
(10/4/2024)

Texas
(1/26/2022)

West Virginia
(9/18/2024)

Wisconsin
(1/26/2022)

Wyoming
(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

State Security Law Exam

IAR

Series 66

Date: 4/28/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2000

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: 3/17/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/27/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/3/2014

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

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Advisor Monitoring

Firm Stability Insights

David E. Dooling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Erwin Dooling's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

ALTON CAPITAL MANAGEMENT, INC.

ALTON SECURITIES GROUP INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2017

Series 65

Date: 6/9/2000

Series 63

Date: 4/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/17/2008

Series 6

Date: 4/6/2000

Series 10

Date: 1/27/2015

Series 9

Date: 11/3/2014

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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