Luigi R. Auriemma

CRD 2234618 · Charles Schwab & Co., Inc. · Schaumburg, IL

IA RegisteredBroker

Also appears in the source record as: Luigi R Auriemma Sr.; Lou R. Auriemma; Lou Auriemma; Luigi R Auriemma Sr; Luigi R Auriemma; Luigi Ralph Auriemma Sr

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 3Series 66
Registered states (8): Florida · Illinois · Kentucky · Missouri · South Carolina · Texas · Virginia · Wisconsin
Years in the industry (source record): 21
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 (18)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Schaumburg, IL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Schaumburg, IL · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
Elmhurst, IL · IA capacity

Aug 16, 2023 → Mar 25, 2025
J.P. Morgan Securities LLC
Elmhurst, IL · BC capacity

Aug 16, 2023 → Mar 25, 2025
Fidelity Personal And Workplace Advisors
Naperville, IL · IA capacity

Dec 14, 2021 → Aug 2, 2023
Fidelity Brokerage Services LLC
Naperville, IL · BC capacity

Nov 16, 2021 → Aug 1, 2023
U.S. Bancorp Investments, Inc.
Palatine, IL · IA capacity

Jun 18, 2021 → Nov 12, 2021
U.S. Bancorp Investments, Inc.
Palatine, IL · BC capacity

Jun 18, 2021 → Nov 12, 2021
Lpl Financial LLC
Downers Grove, IL · IA capacity

Nov 11, 2020 → Jul 6, 2021
Lpl Financial LLC
Downers Grove, IL · BC capacity

Nov 11, 2020 → Jul 6, 2021
Advice And Planning Services
Wheaton, IL · IA capacity

Apr 24, 2013 → Nov 13, 2020
Tiaa-Cref Individual & Institutional Services, LLC
Wheaton, IL · BC capacity

Apr 24, 2013 → Nov 13, 2020
Chase Investment Services Corp.
Woodridge, IL · IA capacity

Aug 8, 2011 → Nov 29, 2011
Chase Investment Services Corp.
Woodridge, IL · BC capacity

Aug 8, 2011 → Nov 29, 2011
J.P. Morgan Securities Inc.
Chicago, IL · BC capacity

Jan 15, 2007 → Oct 1, 2008
J. P. Morgan Securities Inc.
Chicago, IL · IA capacity

Jan 11, 2007 → Oct 1, 2008
Prudential Financial Planning Services
Downers Grove, IL · IA capacity

May 10, 2005 → Mar 27, 2006
Pruco Securities, LLC.
Newark, NJ · BC capacity

Jan 26, 2004 → Mar 27, 2006

Source & corrections

Where this page comes from

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