Vincent Kusy

CRD 2544169 · Charles Schwab & Co., Inc. · Lone Tree, CO

Broker

Also appears in the source record as: Vincent John Kusy; Vince Kusy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (6): Series 57TOSIESeries 55Series 7Series 24Series 63
Registered states (2): California · New Jersey
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
Lone Tree, CO · BC capacity

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

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Ubs Financial Services Inc.
Weehawken, NJ · BC capacity

Jun 29, 2015 → Nov 11, 2021
Murphy & Durieu
New York, NY · BC capacity

Oct 23, 2008 → Feb 19, 2015
Merriman Curhan Ford & Co.
New York, NY · BC capacity

Oct 30, 2006 → Aug 26, 2008
Moors & Cabot, Inc.
New York, NY · BC capacity

Apr 6, 2004 → Oct 10, 2006
Deutsche Bank Securities Inc.
New York, NY · BC capacity

Jun 21, 2002 → Mar 24, 2004
Ndb Capital Markets, LP
New York, NY · BC capacity

Jul 17, 1998 → Jun 13, 2002
National Discount Brokers
Omaha, NE · BC capacity

Oct 23, 1995 → Jul 2, 1998
Smith Barney Inc.
New York, NY · BC capacity

Jan 31, 1995 → Aug 16, 1995
Royce Investment Group, Inc.
Woodbury, NY · BC capacity

Oct 14, 1994 → Jan 9, 1995

Source & corrections

Where this page comes from

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