David J. Schubert

CARRINGTON ADVISORS

Dallas, TX 75248

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CRD#: 7182167

Professional summary

David James Schubert, who also goes by David Schubert, is a registered financial advisor currently at CARRINGTON ADVISORS, LLC located in Dallas, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. David has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Schubert

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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Schubert's 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

April 5, 2024 - Present

CARRINGTON ADVISORS, LLC

Office #1: 15770 N. Dallas Parkway Suite 550, Dallas, TX 75248

RIA

CRD#: 311522

Dallas, TX

Past

July 8, 2022 - April 2, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Plano, TX

Past

July 8, 2022 - April 2, 2024

VANGUARD MARKETING CORPORATION

CRD#: 7452

Plano, TX

Past

June 21, 2021 - June 15, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DALLAS, TX

Past

February 14, 2020 - June 8, 2021

NYLIFE SECURITIES LLC

CRD#: 5167

YAKIMA, WA

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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/5/2024)

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: 8/27/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/7/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/14/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/16/2019

Securities Industry Essentials Examination

Current Firm

CARRINGTON ADVISORS, LLC

CRD#: 311522 / SEC#:

California

Registered Investment Advisory firm - (3/17/2021 Approved)

Georgia

Registered Investment Advisory firm - (3/19/2021 Approved)

Louisiana

Registered Investment Advisory firm - (1/26/2021 Approved)

Texas

Registered Investment Advisory firm - (1/15/2021 Approved)

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Contact information

Main Address

15770 N. Dallas Parkway Suite 550, Dallas, TX 75248

Mailing Address

Phone number

(214) 446-4706

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	456
AUM (Assets Under Management)	$ 97,845,325

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/11/2025	Cover Page	Report
10/18/2024	Cover Page	Report
11/30/2022	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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David J. Schubert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Schubert's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARRINGTON ADVISORS, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

FIDELITY BROKERAGE SERVICES LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2021

Series 63

Date: 3/7/2020

Series 7TO

Date: 2/14/2020

SIE

Date: 12/16/2019

Current Firm

CARRINGTON ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARRINGTON ADVISORS, LLC

TRUST BUT VERIFY

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