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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

CHRISTOPHER JAY DAVIS

Advisor at CHARLES SCHWAB & CO., INC.

West Hartford, CT

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Search this name across graphsid dfx:ria:2be07efc-016c-8d3d-8518-7f97faab715f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 15, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 14, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 14, 2010
First registration: Oct 15, 2010
Dual registered: yes, broker-dealer
Other names: CHRIS DAVIS
IAPD individual key: 2755947

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 26, 2022	n/a	yes	West Hartford, CT	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Oct 14, 2022	no	MANCHESTER, CT\|West Hartford, CT	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Sep 7, 2023	no	OMAHA, NE\|MANCHESTER, CT\|West Hartford, CT	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Apr 25, 2016	Feb 26, 2018	no	Manchester, CT\|SAINT LOUIS, MO	Previous registration
3D ASSET MANAGEMENT, INC.	Former SEC adviser	May 5, 2014	Nov 4, 2014	no	HARTFORD, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 11, 2013	Mar 18, 2014	no	GLASTONBURY, CT	Previous registration
HFM WEALTH MANAGEMENT	Independent wealth	Oct 15, 2010	Jan 8, 2013	no	WEST HARTFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 7, 2023	Feb 27, 2018	-2,018	Channel change	Other
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Oct 14, 2022	Jan 26, 2022	-261	Channel change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA
3D ASSET MANAGEMENT, INC.	SCOTTRADE INVESTMENT MANAGEMENT	Nov 4, 2014	Apr 25, 2016	538	Firm change after gap	Other
MSI FINANCIAL SERVICES, INC.	3D ASSET MANAGEMENT, INC.	Mar 18, 2014	May 5, 2014	48	Firm change	Other
HFM WEALTH MANAGEMENT	MSI FINANCIAL SERVICES, INC.	Jan 8, 2013	Oct 11, 2013	276	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111514:7870:CT:2023-09-07	Sep 7, 2023	Feb 27, 2018	WEST HARTFORD, CT	Firm change after gap
7870:5393:CT:2022-10-14	Oct 14, 2022	Jan 26, 2022	WEST HARTFORD, CT	Firm change after gap

Relationships

Registered with (7)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Oct 14, 2022factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Apr 25, 2016 to Feb 26, 2018factForm ADV
→ 3D ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
May 5, 2014 to Nov 4, 2014factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 11, 2013 to Mar 18, 2014factForm ADV
→ HFM WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Oct 15, 2010 to Jan 8, 2013factForm ADV

Dated events

No dated event names this entity yet.