Christopher Ryan Thompson

CRD 2757578 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Chris Thompson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 52TOSeries 99TOSeries 57TOSIESeries 7Series 24Series 53Series 65Series 63
Registered states (6): Arizona · California · Colorado · New Jersey · New York · Texas
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2757578 contains one or more disclosure events as of Aug 20, 2026.

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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 (10)

From the source registration record · current first

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

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

start not retrieved → present
Ifs Securities
Atlanta, GA · BC capacity

Apr 6, 2018 → Aug 10, 2018
S.B. Value Partners, L.P.
Parker, CO · IA capacity

Jul 3, 2017 → Jan 8, 2018
Investment Professionals, Inc.
Englewood, CO · IA capacity

Jun 14, 2017 → Jul 3, 2017
Investment Professionals, Inc.
Englewood, CO · BC capacity

Nov 30, 2010 → Jul 3, 2017
Advisors Asset Management, Inc.
Monument, CO · BC capacity

Aug 6, 2003 → Dec 6, 2010
Kirkpatrick, Pettis, Smith, Polian Inc.
Omaha, NE · BC capacity

Mar 1, 2002 → Apr 8, 2003
Prudential Securities Incorporated
New York, NY · BC capacity

May 26, 2000 → Mar 4, 2002
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

May 15, 1998 → Jun 7, 2000

Source & corrections

Where this page comes from

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