Dale Ronald Nowak

CRD 1691276 · Charles Schwab & Co., Inc. · Phoenix, AZ

Broker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (9): Series 57TOSeries 99TOSIESeries 55Series 7Series 10Series 9Series 8Series 63
Registered states (3): Arizona · California · Colorado
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · BC capacity

start not retrieved → present
Optionsxpress, Inc.
Phoenix, AZ · BC capacity

Apr 1, 2016 → Nov 14, 2017
Metropolitan Life Insurance Company
New York, NY · BC capacity

Nov 7, 1991 → Mar 14, 1996
Metlife Securities Inc.
Springfield, MA · BC capacity

Nov 7, 1991 → Mar 14, 1996
The Prudential Insurance Company Of America
Newark, NJ · BC capacity

Jun 7, 1990 → Mar 21, 1991
Pruco Securities Corporation
Newark, NJ · BC capacity

Jun 7, 1990 → Mar 21, 1991
Thomas James Associates, Inc.
Rochester, NY · BC capacity

Oct 12, 1989 → May 21, 1990
B C Financial Corporation
BC capacity

Aug 25, 1989 → Sep 16, 1989
Andrew Alen Securities, Inc.
BC capacity

Jan 13, 1988 → Jun 3, 1989
Marshall Davis, Inc.
BC capacity

Jul 29, 1987 → Dec 3, 1987

Source & corrections

Where this page comes from

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Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.