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David L Chapin

Schwab Wealth Advisory, Inc.

Indianapolis, IN

CRD 5829032

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Employer firm

Schwab Wealth Advisory, Inc. CRD 159035

168,774 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2021-10-28
  • IN RA
    APPROVED
    Since 2021-10-28

Branch Locations

8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482 • 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
Sheaff Brock Investment Advisors, Llc Indianapolis IN 09/2015 08/2018
Charles Schwab & Co., Inc. Indianapolis IN 10/2018 Present
Schwab Wealth Advisory Inc Indianapolis IN 10/2021 Present
  • 09/2015 → 08/2018
    Sheaff Brock Investment Advisors, Llc
    Indianapolis, IN
  • 10/2018 → Present
    Charles Schwab & Co., Inc.
    Indianapolis, IN
  • 10/2021 → Present
    Schwab Wealth Advisory Inc
    Indianapolis, IN
Previous Registrations
  • 2015-12-12 → 2018-09-04
    Sheaff Brock Investment Advisors, Llc
    Indianapolis, IN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-01-15
S66 Uniform Combined State Law Examination 2015-12-12
  • S63 Uniform Securities Agent State Law Examination
    2019-01-15
  • S66 Uniform Combined State Law Examination
    2015-12-12
Designations
  • Certified Financial Planner
Other Names
  • David Lee Chapin
  • David L Chapin

View on SEC IAPD

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Nearby Offices

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