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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

David James Herbst

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

York, PA

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Search this name across graphsid dfx:ria:4f587efe-b675-b079-42c8-0d28eefa9947

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 14, 2020 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 13, 2020
First registration: Aug 14, 2020
Dual registered: yes, broker-dealer
Other names: David Herbst|David J Herbst
IAPD individual key: 7180810

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Dec 15, 2025	n/a	yes	York, PA	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 26, 2022	Dec 23, 2025	no	Camp Hill, PA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 14, 2020	Sep 7, 2023	no	HARRISBURG, PA\|HARRISBURG, PA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 14, 2020	Oct 14, 2022	no	Harrisburg, PA\|OMAHA, NE	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
CHARLES SCHWAB & CO., INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 23, 2025	Dec 15, 2025	-8	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 26, 2022	-589	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Aug 14, 2020	-791	Bulk transfer	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Dec 15, 2025 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 26, 2022 to Dec 23, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 14, 2020 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 14, 2020 to Oct 14, 2022factForm ADV

Dated events

Occurred
Dec 23, 2025
Advisor changed firm
David James Herbst left Charles Schwab & Co., Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-12-15)
Form ADVobserved 4 days ago