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David Francis Lafferty

Charles Schwab & Co., Inc.

Windham, NH

Westlake, TX

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2022-03-11
  • NH RA
    APPROVED
    Since 2022-03-11

Branch Locations

Windham, NH • 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
Cdc Ixis Asset Management Distributors,Lp Boston MA 09/2004 05/2020
Charles Schwab & Co., Inc. Windham NH 05/2020 Present
Charles Schwab Investment Advisory, Inc. Boston MA 05/2020 03/2022
  • 09/2004 → 05/2020
    Cdc Ixis Asset Management Distributors,Lp
    Boston, MA
  • 05/2020 → Present
    Charles Schwab & Co., Inc.
    Windham, NH
  • 05/2020 → 03/2022
    Charles Schwab Investment Advisory, Inc.
    Boston, MA
Previous Registrations
  • 2020-09-09 → 2022-03-11
    Charles Schwab Investment Advisory, Inc.
    Boston, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-04-23
  • S63 Uniform Securities Agent State Law Examination
    1999-04-23
Designations

View on SEC IAPD

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