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David Roger Fern

Charles Schwab & Co., Inc.

Southlake, TX

Fort Worth, TX

CRD 2849854

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-07-14
  • TX RA
    APPROVED
    Since 2014-07-14

Branch Locations

1524 E. Southlake Blvd, Southlake, TX 76092-6421 • United States

409 Throckmorton St, Fort Worth, TX 76102 • 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. Southlake TX 08/2002 Present
Charles Schwab Bank, Ssb Southlake TX 02/2005 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-21
S65 Uniform Investment Adviser Law Examination 1997-08-28
S63 Uniform Securities Agent State Law Examination 1997-02-05
  • S66 Uniform Combined State Law Examination
    2002-10-21
  • S65 Uniform Investment Adviser Law Examination
    1997-08-28
  • S63 Uniform Securities Agent State Law Examination
    1997-02-05
Other Names
  • David Roger Fern

View on SEC IAPD

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