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David James Robertson

Charles Schwab & CO., Inc.

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About David James Robertson

David Robertson is a financial professional with over 30 years of experience in the industry. David is currently registered with Charles Schwab & CO., Inc. and has held previous positions at SCOTTRADE, INC., WATERHOUSE SECURITIES, INC., CHATFIELD DEAN & CO., INC. and BUTLER, WICK & CO., INC. David holds several licenses and certifications including the Series 7, 10, 24, 52, 53, 63, 66, and the SIE exam.

Firm Information

David Robertson 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 Robertson’s Registration & Firm History

GA

08/28/2019 - Present

Charles Schwab & CO., Inc. (Dawsonville GA)

GA

07/09/1993 - 03/07/2018

SCOTTRADE, INC. (ALPHARETTA GA)

NE

03/23/1992 - 07/12/1993

WATERHOUSE SECURITIES, INC. (OMAHA NE)

CO

12/24/1991 - 01/16/1992

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

OH

04/24/1990 - 08/05/1991

BUTLER, WICK & CO., INC. (YOUNGSTOWN OH)

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Licenses & Designations

BOTH

Issued 02/16/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/16/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/13/2019

Series 53 - Municipal Securities Principal Examination

BC

Issued 07/27/2012

Series 4 - Registered Options Principal Examination

BC

Issued 08/24/1993

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 03/07/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/21/1990

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 James Robertson.
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