Janet Mary Haley

CRD 2331033 · Charles Schwab & Co., Inc. · Alexandria, VA

IA RegisteredBroker

Also appears in the source record as: Janet Haley

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 (40): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Mississippi · Missouri · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 30
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 (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Alexandria, VA · IA capacity

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

start not retrieved → present
Usaa Investment Management Company
Arlington, VA · IA capacity

Jan 8, 2018 → May 24, 2020
Usaa Financial Advisors, Inc.
Vienna, VA · BC capacity

Jun 26, 2014 → May 24, 2020
Usaa Financial Planning Services
Vienna, VA · IA capacity

Jun 26, 2014 → Jan 8, 2018
Advisors Asset Management, Inc.
Walnut Creek, CA · IA capacity

Oct 28, 2011 → Mar 25, 2014
Advisors Asset Management, Inc.
Monument, CO · BC capacity

Oct 6, 2011 → Mar 25, 2014
Cohen & Steers Securities, LLC
New York, NY · BC capacity

Mar 2, 2007 → Sep 23, 2010
Evergreen Investment Services, Inc.
Charlotte, NC · BC capacity

May 13, 2002 → Feb 2, 2007
Conseco Equity Sales, Inc.
Carmel, IN · BC capacity

Jun 14, 1999 → Jan 4, 2002
Calvert Distributors, Inc.
Bethesda, MD · BC capacity

Jul 7, 1995 → May 28, 1999
Aegon USA Securities Inc.
Cedar Rapids, IA · BC capacity

Mar 16, 1993 → Aug 25, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2331033 ↗ FINRA BrokerCheck record for CRD 2331033 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

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