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David Allen Botset

Charles Schwab & CO., Inc.

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About David Allen Botset

David Botset is a financial professional with over 20 years of experience in the financial services industry. David is currently registered with Charles Schwab & Co., Inc. and is located in Chicago, Illinois. Prior to joining Charles Schwab & Co., Inc., David was employed by Guggenheim Funds Distributors, LLC and Nuveen Investments, LLC. David has a strong background in securities and investment advisory services and holds the Series 7, Series 24, Series 63, and Series 65 licenses. David is dedicated to providing his clients with personalized financial advice and solutions to help them achieve their financial goals.

Firm Information

David Botset is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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David Botset’s Registration & Firm History

IL

10/23/2012 - Present

Charles Schwab & CO., Inc. (Chicago IL)

IL

05/14/2007 - 06/20/2012

GUGGENHEIM FUNDS DISTRIBUTORS, LLC (GENEVA IL)

IL

07/02/1998 - 05/10/2007

NUVEEN INVESTMENTS, LLC (CHICAGO IL)

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Licenses & Designations

IA

Issued 05/21/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/03/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/30/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Allen Botset.
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