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Detailed Report
DAVID PERRY VANCE
DAVE VANCE, DAVID VANCE
CRD#: 2691106
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1655 Hendersonville Rd.
Asheville, NC 28803
Registration History
1996199820002002200420062008201020122014201620182020202220242026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2002 - Present (22 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1996 - Present (29 years)
Disclosure(s)
View By:
9/16/2009
Customer Dispute
Denied
4/5/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 3/28/2019
B
North Carolina 7/25/1996
B
California 5/4/2007
IA
North Carolina 4/3/2002
B
Colorado 3/4/2023
B
Ohio 8/31/2017
B
Delaware 1/8/2015
B
Oregon 3/28/2019
B
Florida 2/1/1996
B
Pennsylvania 3/28/2019
B
Georgia 1/31/1996
B
South Carolina 1/2/2001
B
Idaho 1/3/2007
B
Tennessee 6/2/1998
B
Illinois 4/22/2022
B
Texas 2/2/2015
B
Indiana 3/28/2019
IA
Texas 1/4/2019
B
Maryland 10/19/2022
B
Virginia 1/8/2015
B
Nevada 1/8/2015
B
Washington 3/26/2024
B
New Jersey 9/24/2018
B
Wisconsin 1/8/2015
B
New York 4/6/2022
B
Wyoming 3/28/2019

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1655 Hendersonville Rd., Asheville, NC 28803
Registered with this firm since 4/3/2002
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1655 Hendersonville Rd., Asheville, NC 28803
Registered with this firm since 1/31/1996
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.