Dustin N. French

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CRD#: 5359624

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.

Dustin Nicholas French, who also goes by Dustin French, was a registered financial professional .

Dustin is a previously registered financial professional and started their career in finance in 2007. Dustin had worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Aliases

Dustin French

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.

Name of Outside Business:Rental Property; Investment Related:No; Address of Outside Business:Charlottesville, VA; Nature of Outside Business:Rental Property; Position:landlord; Start Date:11/1/2014; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: landlord

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

Experience

Past

January 26, 2022 - July 22, 2026

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Towson, MD

Past

January 26, 2022 - July 22, 2026

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Towson, MD

Past

February 27, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Towson, MD

Past

February 26, 2018 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Towson, MD

Past

February 26, 2018 - July 29, 2024

TD AMERITRADE, INC.

CRD#: 7870

Towson, MD

Past

July 25, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

March 31, 2015 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

TOWSON, MD

Past

November 30, 2007 - October 11, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTESVILLE, VA

Past

August 1, 2007 - October 11, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTESVILLE, VA

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: 7/25/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/17/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/28/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/30/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/9/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/22/2016

General Securities Sales Supervisor - Options Module 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)

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Contact information

Main Address

3000 Schwab Way, Lone Tree, CO 80124

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 (12/11/2025)

SCHWAB ADVISOR NETWORK DISCLOSURE BROCHURE (12/11/2025)

CHARLES SCHWAB & CO., INC. SCHWAB INTELLIGENT PORTFOLIOS SOLUTIONS DISCLOSURE BROCHURE (12/11/2025)

SCHWAB MANAGED ACCOUNT SERVICES DISCLOSURE BROCHURE FOR CLIENTS OF INDEPENDENT INVESTMENT ADVISORS (12/11/2025)

SCHWAB'S MODEL MARKET CENTER DISCLOSURE BROCHURE (12/11/2025)

CS&CO. INC. DISCLOSURE BROCHURE FOR: SCHWAB MANAGED ACCOUNT SVC, SCHWAB MANAGED PORTFOLIOS, SCHWAB FINANCIAL PLANNING SVC (12/11/2025)

CHARLES SCHWAB & CO., INC. ADVICE SERVICES WITH MORNINGSTAR INVESTMENT MANAGEMENT LLC DISCLOSURE BROCHURE (12/11/2025)

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	251
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2026	Cover Page	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.

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Advisor Monitoring

Firm Stability Insights

Dustin N. French

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2016

Series 63

Date: 4/17/2015

Series 65

Date: 11/28/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/31/2015

Series 6

Date: 7/30/2007

Series 10

Date: 2/9/2017

Series 9

Date: 12/22/2016

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

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