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Dave Andrew Ethington

Charles Schwab & Co., Inc.

Chandler, AZ

Tulsa, OK

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-05-25
  • AZ RA
    APPROVED
    Since 2023-05-25

Branch Locations

3031 West Frye Road Bldg. D, Chandler, AZ 85226 • United States

2005 East 21St Street Suite 100, Tulsa, OK 74104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Phoenix AZ 03/2008 Present
Charles Schwab Bank, Ssb Phoenix AZ 03/2008 Present
Previous Registrations
  • 2021-10-04 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Chandler, AZ
  • 2021-10-04 → 2022-10-14
    Td Ameritrade, Inc.
    Chandler, AZ
  • 2008-04-02 → 2021-09-30
    Charles Schwab & Co., Inc.
    Cottonwood Heights, UT
    Phoenix, AZ
    Chandler, AZ
  • 2005-07-29 → 2006-08-02
    Strategic Advisers Llc
    Salt Lake City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-08
S63 Uniform Securities Agent State Law Examination 1996-08-28
  • S66 Uniform Combined State Law Examination
    2005-07-08
  • S63 Uniform Securities Agent State Law Examination
    1996-08-28
Other Names
  • David Andrew Ethington

View on SEC IAPD

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Kelly A Luft
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SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
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Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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