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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

David Engstrom

Advisor at CHARLES SCHWAB & CO., INC.

Novi, MI

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Search this name across graphsid dfx:ria:bc93f9bb-a614-e3b8-74d3-3747e0f1c3b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 8, 2016 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: Sep 6, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 6, 2007
First registration: Nov 8, 2016
Dual registered: yes, broker-dealer
Other names: DAVID G ENGSTROM|DAVID G ENGSTROM
IAPD individual key: 5400893

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	Aug 30, 2024	n/a	yes	Novi, MI	Current employment
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 10, 2019	Aug 19, 2024	no	BRIGHTON, MI\|BRIGHTON, MI	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jul 20, 2017	Apr 29, 2019	no	FENTON, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 8, 2016	Jun 23, 2017	no	FENTON, MI	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
FIFTH THIRD SECURITIES, INC.	CHARLES SCHWAB & CO., INC.	Aug 19, 2024	Aug 30, 2024	11	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	FIFTH THIRD SECURITIES, INC.	Apr 29, 2019	Jun 10, 2019	42	Firm change	Ibd to ibd
LPL FINANCIAL LLC	CETERA INVESTMENT ADVISERS LLC	Jun 23, 2017	Jul 20, 2017	27	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Aug 30, 2024 to presentfactForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 10, 2019 to Aug 19, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jul 20, 2017 to Apr 29, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 8, 2016 to Jun 23, 2017factForm ADV

Dated events

Occurred
Aug 19, 2024
Advisor changed firm
David Engstrom left Fifth Third Securities, Inc. for Charles Schwab & Co., Inc. (registered 2024-08-30)
Form ADVobserved 6 days ago