Nicholas James Barnwell

CRD 2003368 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Nick James Barnwell

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (25): Arizona · Arkansas · California · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Maine · Massachusetts · Michigan · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Texas · Vermont · Virginia · Washington · Wyoming
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 (11)

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
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Usaa Financial Planning Services
New York, NY · IA capacity

May 22, 2012 → Oct 28, 2014
Usaa Financial Advisors, Inc.
New York, NY · BC capacity

May 22, 2012 → Oct 28, 2014
Allianz Life Financial Services, LLC
Minneapolis, MN · BC capacity

May 24, 2011 → May 16, 2012
Weiser Capital Management, LLC
New York, NY · IA capacity

Jan 28, 2011 → May 23, 2011
Comprehensive Asset Management And Servicing, Inc.
Totowa, NJ · BC capacity

Dec 7, 2009 → May 13, 2011
Valmark Securities, Inc.
New York, NY · BC capacity

May 13, 2009 → Dec 1, 2009
John Hancock Distributors LLC
Boston, MA · BC capacity

Jan 1, 2002 → Apr 16, 2009
Manulife Wood Logan, Inc.
Stamford, CT · BC capacity

Jan 26, 1990 → Dec 19, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2003368 ↗ FINRA BrokerCheck record for CRD 2003368 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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