Jonathan Spors

CRD 1923272 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Jonathan Wesley Spors

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 (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): 32
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 (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Advised Assets Group, LLC
Greenwood Village, CO · IA capacity

Mar 1, 2021 → Jul 26, 2021
Gwfs Equities, Inc.
Greenwood Village, CO · BC capacity

Mar 1, 2021 → Jul 26, 2021
Advice And Planning Services
Denver, CO · IA capacity

Aug 17, 2006 → Nov 13, 2020
Tiaa-Cref Individual & Institutional Services, LLC
Denver, CO · BC capacity

Aug 17, 2006 → Nov 13, 2020
Ubs Financial Services Inc.
Denver, CO · IA capacity

Apr 14, 2005 → Aug 10, 2006
Ubs Financial Services Inc.
Denver, CO · BC capacity

Apr 1, 2005 → Aug 10, 2006
U.S. Bancorp Investments, Inc.
Saint Paul, MN · BC capacity

Feb 4, 2003 → Mar 8, 2005
U.S. Bancorp Piper Jaffray Inc.
Minneapolis, MN · BC capacity

Jul 19, 1999 → Dec 2, 2002
Chatfield Dean & Co., Inc.
Greenwood Village, CO · BC capacity

May 1, 1997 → Jun 25, 1997
A. T. Brod & Co. Inc.
Cleveland, OH · BC capacity

Jan 23, 1990 → Dec 3, 1990
Malone & Associates, Inc.
Denver, CO · BC capacity

Oct 20, 1989 → Jan 22, 1990
Richfield Securities, Inc.
BC capacity

Aug 22, 1989 → Oct 24, 1989

Source & corrections

Where this page comes from

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