Caroline Maglio

CRD 2421548 · Charles Schwab & Co., Inc. · Menlo Park, CA

IA RegisteredBroker

Also appears in the source record as: Li-Ping Fan; Caroline Maglio

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 6Series 24Series 10Series 9Series 66Series 63
Registered states (15): Arizona · California · Colorado · Connecticut · Florida · Georgia · Massachusetts · Nevada · New Hampshire · New York · Oregon · Texas · Utah · Vermont · Wyoming
Years in the industry (source record): 32
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
Menlo Park, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Menlo Park, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Menlo Park, CA · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Menlo Park, CA · BC capacity

May 24, 2021 → Jul 29, 2024
Td Ameritrade Investment Management, LLC
Menlo Park, CA · IA capacity

May 24, 2021 → Sep 7, 2023
Td Ameritrade, Inc.
Menlo Park, CA · IA capacity

May 24, 2021 → Oct 14, 2022
Empirical Wealth Management
Los Gatos, CA · IA capacity

Feb 22, 2021 → May 7, 2021
Fidelity Personal And Workplace Advisors
Boston, MA · IA capacity

Jul 13, 2018 → Jan 30, 2020
Fidelity Brokerage Services LLC
Campbell, CA · BC capacity

Aug 16, 1995 → Jan 8, 2020
Strategic Advisers LLC
Campbell, CA · IA capacity

Aug 7, 2006 → Jul 13, 2018
1784 Investor Services, Inc.
Boston, MA · BC capacity

Nov 4, 1994 → Jul 25, 1995
Sei Financial Services Company
Oaks, PA · BC capacity

Nov 29, 1993 → Nov 8, 1994

Source & corrections

Where this page comes from

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