Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lowell Whitlock is a financial professional with over 28 years of experience in the industry. David is a registered representative with Charles Schwab & CO., Inc. David has held previous roles with TD Ameritrade, Inc. and National Financial Services LLC. David holds several industry licenses including Series 4, 6, 7, 8, 9, 10, 63, and SIE. David specializes in Financial Planning and has a strong track record of providing personalized financial advice.
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
CA
01/17/2022 - Present
Charles Schwab & CO., Inc. (San Francisco CA)
NE
09/24/2018 - 01/17/2022
TD AMERITRADE, INC. (OMAHA NE)
NE
09/24/2018 - 12/31/2020
TD AMERITRADE CLEARING, INC. (OMAHA NE)
MA
08/31/2011 - 07/02/2018
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
10/28/1993 - 07/29/2011
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 11/04/1993
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 06/05/2001
Series 4 - Registered Options Principal Examination
BC
Issued 10/20/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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