Steve Stevens

CRD 2699975 · Charles Schwab & Co., Inc. · Oakland, CA

IA RegisteredBroker

Also appears in the source record as: Steve Leland Stevens

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 24Series 10Series 9Series 66Series 65Series 63
Registered states (11): Arizona · California · Colorado · Hawaii · Idaho · Nevada · New Mexico · Oregon · Utah · Washington · Wyoming
Years in the industry (source record): 26
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 (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Oakland, CA · IA capacity

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

start not retrieved → present
Schwab Wealth Advisory, Inc.
Phoenix, AZ · IA capacity

Aug 18, 2021 → Apr 20, 2026
Sagepoint Financial, Inc.
Phoenix, AZ · IA capacity

Nov 5, 2019 → May 5, 2021
Woodbury Financial Services, Inc.
Oakdale, MN · BC capacity

Nov 5, 2019 → May 5, 2021
Sagepoint Financial, Inc.
Scottsdale, AZ · BC capacity

Nov 5, 2019 → May 5, 2021
Royal Alliance Associates, Inc.
Scottsdale, AZ · BC capacity

Nov 5, 2019 → May 5, 2021
Fsc Securities Corporation
Atlanta, GA · BC capacity

Nov 5, 2019 → May 5, 2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Chandler, AZ · IA capacity

Jun 19, 2015 → Nov 4, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Chandler, AZ · BC capacity

Jun 19, 2015 → Nov 4, 2019
Strategic Advisers, Inc.
Salt Lake City, UT · IA capacity

May 15, 2009 → Aug 19, 2009
Fidelity Brokerage Services LLC
Salt Lake City, UT · BC capacity

Nov 16, 2006 → Aug 19, 2009
Cybertrader, Inc.
Austin, TX · BC capacity

May 7, 2002 → Oct 2, 2006
Everen Securities, Inc.
St. Louis, MO · BC capacity

Oct 28, 1997 → Jul 28, 1998

Source & corrections

Where this page comes from

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