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David Fakes

Charles Schwab & Co., Inc.

Cincinnati, OH

Liberty Township, OH

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2025-08-21
  • OH RA
    APPROVED
    Since 2025-08-21

Branch Locations

7835 Kenwood Road, Cincinnati, OH 45236 • United States

6862 Liberty Plaza Drive Suite 100, Liberty Township, OH 45044 • 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
Fidelity Brokerage Services Llc Louisville KY 05/2015 08/2017
Fidelity Personal And Workplace Advisors Boston MA 07/2018 08/2025
Fidelity Investments Boston MA 03/2025 08/2025
Fidelity Investments Louisville KY 08/2017 12/2018
Fidelity Investments Louisville KY 12/2018 01/2021
Fidelity Investments Louisville KY 01/2021 09/2022
Fidelity Investments Louisville KY 10/2022 08/2025
Charles Schwab & Co., Inc. Liberty Township OH 08/2025 Present
Charles Schwab Bank, Ssb Liberty Township OH 08/2025 Present
  • 05/2015 → 08/2017
    Fidelity Brokerage Services Llc
    Louisville, KY
  • 07/2018 → 08/2025
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 03/2025 → 08/2025
    Fidelity Investments
    Boston, MA
  • 08/2017 → 12/2018
    Fidelity Investments
    Louisville, KY
  • 12/2018 → 01/2021
    Fidelity Investments
    Louisville, KY
  • 01/2021 → 09/2022
    Fidelity Investments
    Louisville, KY
  • 10/2022 → 08/2025
    Fidelity Investments
    Louisville, KY
  • 08/2025 → Present
    Charles Schwab & Co., Inc.
    Liberty Township, OH
  • 08/2025 → Present
    Charles Schwab Bank, Ssb
    Liberty Township, OH
Previous Registrations
  • 2025-03-31 → 2025-08-06
    Strategic Advisers Llc
    Louisville, KY
    Louisville, KY
    Boston, MA
  • 2018-07-13 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Boston, MA
    Louisville, KY
    Louisville, KY
  • 2017-09-26 → 2018-07-13
    Strategic Advisers Llc
    Louisville, KY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-21
S63 Uniform Securities Agent State Law Examination 2015-10-09
  • S66 Uniform Combined State Law Examination
    2017-08-21
  • S63 Uniform Securities Agent State Law Examination
    2015-10-09
Designations
Other Names
  • David Michael Fakes

View on SEC IAPD

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STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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