John Paul Simmons

CRD 2188297 · Charles Schwab & Co., Inc. · Carmel, IN

IA Registered

Also appears in the source record as: J.P. Simmons

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Not registered in this capacity
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (1): Indiana
Years in the industry: Not yet retrieved from the source record
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 (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Carmel, IN · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.
Atlanta, GA · BC capacity

Aug 5, 2011 → Dec 5, 2014
Bbva Compass Investment Solutions, Inc
Houston, TX · BC capacity

Nov 8, 2010 → Feb 15, 2011
Fsc Securities Corporation
Houston, TX · BC capacity

Oct 16, 2009 → Oct 27, 2010
Neuberger Berman LLC
Atlanta, GA · BC capacity

Jun 20, 2006 → Sep 8, 2009
Hornor, Townsend & Kent, Inc.
Atlanta, GA · BC capacity

Jan 11, 2002 → Jun 20, 2006
Proequities, Inc.
Birmingham, AL · BC capacity

Feb 14, 1997 → Feb 21, 2002
Metropolitan Life Insurance Company
New York, NY · BC capacity

Jun 18, 1993 → Aug 19, 1994
Metlife Securities Inc.
Springfield, MA · BC capacity

Jun 18, 1993 → Aug 19, 1994

Source & corrections

Where this page comes from

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