Joseph Paul Cearley

CRD 2816189 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Joe Cearley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 6Series 24Series 26Series 65Series 63
Registered states (2): California · Colorado
Years in the industry (source record): 24
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 (11)

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
Lpl Financial LLC
Charlotte, NC · BC capacity

Apr 3, 2014 → Nov 14, 2014
Lpl Financial LLC
Charlotte, NC · IA capacity

Mar 27, 2014 → Nov 14, 2014
Tiaa-Cref Advice And Planning Services
Denver, CO · IA capacity

Feb 22, 2008 → Apr 19, 2013
Tiaa-Cref Individual & Institutional Services, LLC
Denver, CO · BC capacity

Jan 26, 2006 → Apr 19, 2013
Teachers Personal Investors Services, Inc.
Denver, CO · BC capacity

Jan 26, 2006 → Dec 11, 2006
Gwfs Equities, Inc.
Greenwood Village, CO · BC capacity

Sep 12, 2003 → Jan 4, 2006
One Orchard Equities, Inc.
Greenwood Village, CO · BC capacity

May 22, 2001 → Nov 5, 2001
Fidelity Brokerage Services, Inc.
Smithfield, RI · BC capacity

Mar 3, 1998 → Jun 3, 1999
Fidelity Investments Institutional Services Company, Inc.
Smithfield, RI · BC capacity

Nov 1, 1996 → Feb 27, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2816189 ↗ FINRA BrokerCheck record for CRD 2816189 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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