Fred Habeck

CRD 2374071 · Charles Schwab & Co., Inc. · Lone Tree, CO

BrokerRegistration inactive

Also appears in the source record as: Fred Habeck; Frederick Walter Habeck

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Inactive
Exams passed (6): SIESeries 31Series 7Series 6Series 63Series 65
Registered states (15): Colorado · Hawaii · Idaho · Iowa · Kansas · Minnesota · Montana · Nebraska · Oklahoma · Oregon · Texas · Utah · Washington · Wisconsin · Wyoming
Years in the industry (source record): 22
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 (20)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Potomac
Portland, OR · IA capacity

May 19, 2025 → Sep 24, 2025
Arbor Court Capital, LLC
Broadview Heights, OH · BC capacity

Jun 26, 2025 → Sep 17, 2025
Alps Distributors, Inc.
Denver, CO · BC capacity

Dec 12, 2023 → May 2, 2025
Guggenheim Funds Distributors, LLC
Chicago, IL · BC capacity

Mar 3, 2014 → Jun 26, 2020
Guggenheim Investments
New York, NY · IA capacity

Oct 26, 2010 → Jun 26, 2020
Guggenheim Distributors, LLC
Schaumburg, IL · BC capacity

Aug 17, 2009 → Mar 3, 2014
Rydex Advisory Services, LLC
Rockville, MD · IA capacity

Aug 17, 2009 → Oct 28, 2010
Morgan Stanley & Co. Incorporated
New York, NY · IA capacity

Apr 2, 2007 → Feb 18, 2009
Morgan Stanley & Co. Incorporated
New York, NY · BC capacity

Apr 2, 2007 → Feb 18, 2009
Morgan Stanley
Portland, OR · IA capacity

Jun 3, 2003 → Apr 2, 2007
Morgan Stanley Dw Inc.
Portland, OR · BC capacity

May 27, 2003 → Apr 2, 2007
Quasar Distributors, LLC
Portland, ME · BC capacity

Oct 4, 2001 → Mar 17, 2003
Brandes Investment Partners LLC
San Diego, CA · IA capacity

Feb 21, 2001 → Mar 17, 2003
First Fund Distributors, Inc.
Phoenix, AZ · BC capacity

Mar 29, 2001 → Oct 4, 2001
Nicholas-Applegate Securities (A California Limited Partnership)
San Diego, CA · BC capacity

May 26, 1998 → Jan 29, 1999
Centex Securities Corporation
La Jolla, CA · BC capacity

Jun 4, 1998 → Aug 20, 1998
Jack White & Company, Inc.
BC capacity

Oct 23, 1995 → Dec 18, 1996
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Sep 10, 1993 → Mar 1, 1994
Equico Securities, Inc.
New York, NY · BC capacity

Sep 10, 1993 → Mar 1, 1994

Source & corrections

Where this page comes from

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