Company profile
Website
Employees
Incorporated
SEC CIK
IRS number
941737782
SEC advisor number
801-29938
FINRA CRD number
5393
Employees
26,596
(3677 investment advisory or research)
Office hours
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Brochures
- Schwab Managed Account Services for Clients of Independent Investment Advisors (31 Mar 23)
- Schwab Wealth Advisory Disclosure Brochure (for International Clients) (31 Mar 23)
- Schwab Wealth Advisory Disclosure Brochure (31 Mar 23)
- Schwab Financial Planning Services Disclosure Brochure (31 Mar 23)
- Schwab Advisor Network Disclosure Brochure (31 Mar 23)
- Charles Schwab & Co., Inc. Schwab Intelligent Portfolios Solutions Dislcosure Brochure (31 Mar 23)
- Schwab Managed Portfolios Disclosure Brochure (31 Mar 23)
- Charles Schwab & Co., Inc. Advice Services with Morningstar Investment Management LLC Disclosure Brochure (3 May 23)
- Schwab Managed Account Services Disclosure Brochure (23 May 23)
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Schwab Holdings, Inc. | 100% Owner | 01/1983 | > 75% |
the Charles Schwab Corporation | Shareholder | 03/1987 | > 75% |
Martinetto, Joseph Raymond | Managing Director and Chief Operating Officer | 05/2017 | < 5% |
Armeli, Barbara Jean | Managing Director and Broker Dealer Chief Compliance Officer | 02/2018 | < 5% |
Crawford, Peter Brooks | Managing Director and Chief Financial Officer | 05/2017 | < 5% |
Howard, Dennis Willard | Managing Director and Chief Information Officer | 05/2017 | < 5% |
Starr, Jeffrey Harold | Managing Director, Operational Services | 01/2020 | < 5% |
Stewart, Marc Christopher | Investment Advisor Chief Compliance Officer | 08/2019 | < 5% |
Wurster, Richard a | President | 10/2021 | < 5% |
Latest filings (excl ownership)
TA-2
Annual report of transfer agent activities
31 Mar 10
TA-W
Notice of withdrawal from registration as transfer agent
3 Dec 09
TA-1/A
Registration as a transfer agent (amended)
21 Jul 09
TA-2
Annual report of transfer agent activities
31 Mar 09
TA-2
Annual report of transfer agent activities
24 Mar 08
TA-1/A
Registration as a transfer agent (amended)
3 Mar 08
TA-1/A
Registration as a transfer agent (amended)
13 Jul 07
TA-1/A
Registration as a transfer agent (amended)
8 Jun 07
TA-1/A
Registration as a transfer agent (amended)
30 Mar 07
TA-2
Annual report of transfer agent activities
30 Mar 07
Latest ownership filings
No filings