Erik Andrew Johnson

CRD 1716519 · Charles Schwab & Co., Inc. · Westlake, TX

Broker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (6): Series 57TOSIESeries 55Series 7Series 10Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 29
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
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Westlake, TX · BC capacity

May 24, 2019 → Sep 7, 2023
Td Ameritrade Clearing, Inc.
Southlake, TX · BC capacity

May 24, 2019 → Sep 7, 2023
Apex Clearing Corporation
Dallas, TX · BC capacity

Oct 17, 2016 → Sep 1, 2017
Esposito Securities, LLC
Dallas, TX · BC capacity

Dec 12, 2012 → Sep 28, 2016
B. Riley & Co., LLC
San Francisco, CA · BC capacity

Apr 17, 2012 → Nov 1, 2012
Knight Capital Americas, L.P.
San Francisco, CA · BC capacity

Jun 7, 2006 → Apr 2, 2012
Harris Nesbitt Corp.
New York, NY · BC capacity

Aug 3, 2004 → Apr 13, 2006
Legg Mason Wood Walker, Incorporated
Baltimore, MD · BC capacity

Oct 24, 1994 → Jul 9, 2004

Source & corrections

Where this page comes from

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