DS
David Sprung
SCHWAB WEALTH ADVISORY
Jersey City, NJ 07302
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CRD#: 7545198
DS
Professional summary
David Sprung is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Jersey City, New Jersey and CHARLES SCHWAB & CO., INC. located in Jersey City, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. David has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view David Sprung'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®
NoneExperience
Current
September 16, 2022 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 30 Hudson Street, Jersey City, NJ 07302RIA
CRD#: 159035
Jersey City, NJ
Current
August 19, 2022 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 30 Hudson Street Floor 23, Jersey City, NJ 07302RIA
BD
CRD#: 5393
Jersey City, 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".
SW
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.RR
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
RR
Alabama(10/17/2022)
RR
Alaska(10/17/2022)
RR
Arizona(9/21/2022)
IAR
Arizona(9/21/2022)
RR
Arkansas(10/17/2022)
RR
California(10/17/2022)
RR
Colorado(10/17/2022)
RR
Connecticut(10/17/2022)
RR
Delaware(10/17/2022)
RR
District of Columbia(10/17/2022)
RR
Florida(10/17/2022)
RR
Georgia(10/17/2022)
RR
Hawaii(10/17/2022)
RR
Idaho(10/17/2022)
RR
Illinois(10/17/2022)
RR
Indiana(10/17/2022)
IAR
Indiana(7/25/2024)
RR
Iowa(10/17/2022)
RR
Kansas(10/17/2022)
RR
Kentucky(10/17/2022)
RR
Louisiana(10/17/2022)
RR
Maine(10/17/2022)
RR
Maryland(10/17/2022)
RR
Massachusetts(10/17/2022)
RR
Michigan(10/17/2022)
RR
Minnesota(10/17/2022)
RR
Mississippi(10/17/2022)
RR
Missouri(10/17/2022)
RR
Montana(10/17/2022)
RR
Nebraska(10/17/2022)
RR
Nevada(10/17/2022)
RR
New Hampshire(10/17/2022)
RR
New Jersey(10/17/2022)
IAR
New Jersey(6/13/2025)
RR
New Mexico(10/17/2022)
RR
New York(10/17/2022)
RR
North Carolina(10/17/2022)
RR
North Dakota(10/17/2022)
RR
Ohio(10/18/2022)
RR
Oklahoma(10/17/2022)
RR
Oregon(10/17/2022)
RR
Pennsylvania(10/17/2022)
RR
Puerto Rico(10/17/2022)
RR
Rhode Island(10/17/2022)
RR
South Carolina(10/17/2022)
RR
South Dakota(10/17/2022)
RR
Tennessee(10/17/2022)
RR
Texas(9/16/2022)
IAR
Texas(9/16/2022)
RR
Utah(10/17/2022)
RR
Vermont(10/17/2022)
RR
Virgin Islands(10/17/2022)
RR
Virginia(10/17/2022)
RR
Washington(10/17/2022)
RR
West Virginia(10/17/2022)
RR
Wisconsin(10/17/2022)
RR
Wyoming(10/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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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)
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.
