Lynn Sandt

CRD 3159428 · Charles Schwab & Co., Inc. · Yardley, PA

IA RegisteredBroker

Also appears in the source record as: Lynn M Sandt

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 7TOSIESeries 7Series 66
Registered states (1): Pennsylvania
Years in the industry (source record): 17
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 (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Yardley, PA · BC capacity

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

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

start not retrieved → present
Lear Investment Management
Dallas, TX · IA capacity

May 1, 2020 → Dec 12, 2025
Phlox Capital Management, LLC
Dallas, TX · IA capacity

Sep 23, 2016 → Nov 21, 2018
Foreside Fund Services, LLC
Dallas, TX · BC capacity

Sep 2, 2014 → Feb 11, 2015
Rbc Capital Markets, LLC
New York, NY · BC capacity

Jun 29, 2011 → May 9, 2013
Morgan Stanley Distribution, Inc.
West Conshohocken, PA · BC capacity

Jun 24, 2010 → Apr 29, 2011
Foreside Distribution Services, L.P.
Portland, ME · BC capacity

Feb 16, 2007 → Jun 30, 2008
Credit Suisse Asset Management Securities, Inc.
New York, NY · BC capacity

Jul 18, 2002 → Dec 31, 2006

Source & corrections

Where this page comes from

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