Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Ethington is a financial advisor with over 26 years of experience in the financial services industry. Dave is currently registered with Charles Schwab & CO., Inc. and has previously worked with TD AMERITRADE, INC. and Goldman, Sachs & Co. Dave is a Series 7, 9, 10, 63 and 66 licensed professional who provides financial advice and services to individuals, families, and businesses. Dave is dedicated to providing personalized and comprehensive financial planning services to help clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
01/26/2022 - Present
Charles Schwab & CO., Inc. (Chandler AZ)
AZ
09/30/2021 - 05/19/2024
TD AMERITRADE, INC. (Chandler AZ)
AZ
03/31/2008 - 09/30/2021
CHARLES SCHWAB & CO., INC. (Chandler AZ)
NY
08/21/2006 - 02/29/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
UT
10/11/1996 - 08/02/2006
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
BOTH
Issued 07/08/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/03/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/14/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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