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David M. Puopolo

Charles Schwab & CO., Inc.

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About David M. Puopolo

David M. Puopolo is a financial professional with over 30 years of experience in the financial services industry. David currently works at Charles Schwab & CO., Inc. and is registered as a Registered Representative and Investment Advisor Representative with FINRA and the state of Connecticut. David has been a Registered Representative and Investment Advisor Representative with Charles Schwab & CO., Inc. since 1992.

Firm Information

David Puopolo 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 Puopolo’s Registration & Firm History

MA

11/28/2022 - Present

Charles Schwab & CO., Inc. (Boston MA)

MA

03/03/1992 - 07/10/2019

CHARLES SCHWAB & CO., INC. (Chestnut Hill MA)

NY

01/25/1990 - 05/24/1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/13/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/29/2023

Series 24 - General Securities Principal Examination

BC

Issued 07/22/1993

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1990

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 M. Puopolo.
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