Richard Low

CRD 1749470 · Charles Schwab & Co., Inc. · New York City, NY

IA RegisteredBroker

Also appears in the source record as: Richard (None) Low; Richard Low

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 9Series 10Series 8Series 66Series 63
Registered states (7): Connecticut · Florida · New Jersey · New York · Pennsylvania · Puerto Rico · Rhode Island
Years in the industry (source record): 35
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 (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
New York City, NY · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
New York, NY · BC capacity

Jul 20, 2017 → Dec 31, 2023
Td Ameritrade Investment Management, LLC
New York, NY · IA capacity

Jul 20, 2017 → Sep 7, 2023
Td Ameritrade, Inc.
New York, NY · IA capacity

Jul 20, 2017 → Oct 14, 2022
Essex National Securities, Inc.
Napa, CA · BC capacity

Jul 7, 1994 → Dec 4, 1995
Liberty Securities Corporation
Purchase, NY · BC capacity

Aug 11, 1993 → Jul 2, 1994
Fn Investment Center
Sacramento, CA · BC capacity

Jun 15, 1992 → Aug 3, 1993
Pamco Securities And Insurance Services
BC capacity

Feb 13, 1990 → Aug 1, 1991
New England Securities
New York, NY · BC capacity

Sep 21, 1989 → Feb 20, 1990
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Oct 13, 1988 → Jul 25, 1989
Equico Securities, Inc.
New York, NY · BC capacity

Oct 13, 1988 → Jul 25, 1989
Mclaughlin, Piven, Vogel Inc.
BC capacity

Nov 25, 1987 → Apr 5, 1988

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1749470 ↗ FINRA BrokerCheck record for CRD 1749470 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. 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.