Robert Hopkins

CRD 2411344 · Charles Schwab & Co., Inc. · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Rob Hopkins; Robert Joseph Hopkins; Robert Hopkins

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 63
Registered states (1): North Carolina
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 (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Waxhaw, NC · IA capacity

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

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Waxhaw, NC · IA capacity

start not retrieved → present
Northwestern Mutual Investment Services, LLC
Milwaukee, WI · BC capacity

Jan 23, 2023 → Jan 13, 2025
Brighthouse Securities, LLC
Charlotte, NC · BC capacity

Sep 10, 2018 → Oct 10, 2022
Allstate Financial Services, LLC
Chantilly, VA · BC capacity

May 10, 2017 → Jul 30, 2018
Allstate Distributors, L.L.C.
Northbrook, IL · BC capacity

Mar 15, 2017 → Jul 30, 2018
Metlife Investors Distribution Company
Charlotte, NC · BC capacity

Apr 6, 2016 → Feb 24, 2017
Metlife Securities Inc.
Springfield, MA · BC capacity

Nov 16, 2015 → Apr 11, 2016
Tiaa-Cref Individual & Institutional Services, LLC
Charlotte, NC · BC capacity

Feb 1, 2013 → Sep 20, 2013
Sunset Financial Services, Inc.
Kansas City, MO · BC capacity

Sep 29, 2005 → Apr 13, 2006
Underwriters Equity Corporation
Harrisburg, PA · BC capacity

Jul 11, 2002 → Jan 2, 2004
B. C. Ziegler And Company
Chicago, IL · BC capacity

Nov 18, 1996 → Aug 18, 1997
First Securities Corporation
Chicago, IL · BC capacity

Oct 14, 1993 → Nov 16, 1993

Source & corrections

Where this page comes from

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