Roy E Mcclung

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

SIESeries 7Series 8Series 66Series 63

Registered states (45)

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 · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

31

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (22)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  Phoenix, AZ · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Phoenix, AZ · BC capacity
  start not retrieved → present
• Usaa Investment Services Company

  Phoenix, AZ · BC capacity
  Jun 8, 2020 → Jul 22, 2020
• Usaa Investment Services Company

  Phoenix, AZ · IA capacity
  Nov 21, 2019 → Jul 22, 2020
• Usaa Financial Advisors, Inc.

  Phoenix, AZ · BC capacity
  Nov 21, 2019 → Jun 8, 2020
• Td Ameritrade, Inc.

  Birmingham, AL · IA capacity
  Mar 19, 2018 → Aug 14, 2019
• Td Ameritrade Investment Management, LLC

  Birmingham, AL · IA capacity
  Mar 19, 2018 → Aug 14, 2019
• Td Ameritrade, Inc.

  Birmingham, AL · BC capacity
  Mar 13, 2018 → Aug 14, 2019
• Scottrade Investment Management

  Saint Louis, MO · IA capacity
  Jul 14, 2016 → Mar 13, 2018
• Scottrade, Inc.

  Phoenix, AZ · BC capacity
  Nov 2, 2015 → Mar 13, 2018
• Vanguard Marketing Corporation

  Scottsdale, AZ · BC capacity
  Aug 22, 2014 → Nov 9, 2015
• Edward Jones

  Fountain Hills, AZ · IA capacity
  Jun 1, 2012 → Jul 29, 2014
• Edward Jones

  Fountain Hills, AZ · BC capacity
  May 18, 2012 → Jul 29, 2014
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Scottsdale, AZ · IA capacity
  Sep 28, 2010 → May 18, 2012
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Scottsdale, AZ · BC capacity
  Sep 27, 2010 → May 18, 2012
• Genworth Financial Wealth Management, Inc.

  Concord, CA · IA capacity
  Jul 6, 2010 → Sep 17, 2010
• Capital Brokerage Corporation

  Glen Allen, VA · BC capacity
  Jun 28, 2010 → Sep 17, 2010
• Banc Of America Investment Services, Inc.

  Phoenix, AZ · IA capacity
  Mar 1, 2004 → Oct 10, 2006
• Banc Of America Investment Services, Inc.

  Phoenix, AZ · BC capacity
  Jan 7, 2004 → Oct 10, 2006
• Prudential Securities Incorporated

  New York, NY · BC capacity
  Aug 29, 2001 → Mar 7, 2002
• Chatfield Dean & Co., Inc.

  Greenwood Village, CO · BC capacity
  Dec 7, 1992 → Aug 10, 1993
• Pruco Securities Corporation

  Newark, NJ · BC capacity
  Oct 30, 1992 → Jan 4, 1993

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.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.