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David Eric Thompson

Charles Schwab & Co., Inc.

Phoenix, AZ

Westlake, TX

CRD 2181425

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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
CA RA APPROVED 2025-09-26
AZ RA APPROVED 2023-05-25
  • CA RA
    APPROVED
    Since 2025-09-26
  • AZ RA
    APPROVED
    Since 2023-05-25

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • United States

3000 Schwab Way, Westlake, TX 76262 • 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
Financial Engines Advisors L.L.C. Phoenix AZ 01/2014 05/2018
Charles Schwab & Co., Inc. Phoenix AZ 05/2018 Present
Previous Registrations
Other Businesses

1) Self|Investment Related: No|No address/ various locations, Phoenix, AZ, 85014, USA|Performing/Fine Arts|Drummer|6/15/2015|20-40 hour/month - 0 during trading hours|Drummer

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-07-06
S65 Uniform Investment Adviser Law Examination 2014-03-14
  • S63 Uniform Securities Agent State Law Examination
    2018-07-06
  • S65 Uniform Investment Adviser Law Examination
    2014-03-14
Other Names
  • Dave Thompson
  • David Eric Thompson
  • David Thompson

View on SEC IAPD

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