Daniel Charles Cummins

CRD 2947647 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Dan Cummins; Daniel Charles Cummins Mr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 7TOSIESeries 7Series 6Series 63Series 65
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2947647 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 (13)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

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

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Tiaa-Cref Individual & Institutional Services, LLC
Lewisville, TX · BC capacity

Jan 20, 2011 → Feb 8, 2018
Wells Fargo Advisors, LLC
Addison, TX · IA capacity

Feb 27, 2009 → Jan 7, 2011
Wells Fargo Advisors, LLC
Addison, TX · BC capacity

Feb 27, 2009 → Jan 7, 2011
Chase Investment Services Corp.
Dallas, TX · IA capacity

Jan 11, 2007 → Feb 19, 2009
Chase Investment Services Corp.
Dallas, TX · BC capacity

Dec 12, 2006 → Feb 19, 2009
J.P. Morgan Securities Inc.
New York, NY · BC capacity

Mar 7, 2006 → Dec 14, 2006
Banc One Securities Corporation
Chicago, IL · BC capacity

Dec 7, 2004 → Jul 6, 2005
Foresters Equity Services, Inc.
San Diego, CA · BC capacity

Apr 14, 2003 → Jun 10, 2003
Fidelity Brokerage Services, Inc.
Smithfield, RI · BC capacity

Mar 3, 1998 → Jul 21, 1999
Fidelity Investments Institutional Services Company, Inc.
Smithfield, RI · BC capacity

Sep 25, 1997 → Dec 23, 1997

Source & corrections

Where this page comes from

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