Ronald Vincent Regan

CRD 3259479 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Ronald V Regan Jr; Ronald Vincent Regan Jr; Ronald Vincent Regan Jr.; Ronald Vincent Jr Regan; Vince Regan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 7Series 63Series 66
Registered states (34): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Louisiana · Maine · Maryland · Massachusetts · Minnesota · Mississippi · Missouri · Nebraska · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3259479 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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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 (8)

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
Td Ameritrade Investment Management, LLC
Southlake, TX · IA capacity

Nov 15, 2017 → May 10, 2022
Td Ameritrade, Inc.
Fort Worth, TX · IA capacity

Nov 15, 2017 → Dec 31, 2017
Td Ameritrade, Inc.
Fort Worth, TX · BC capacity

Nov 14, 2017 → Dec 31, 2017
Strategic Advisers, Inc.
Westlake, TX · IA capacity

Oct 21, 2014 → Oct 6, 2017
Fidelity Brokerage Services LLC
Westlake, TX · BC capacity

Oct 16, 2014 → Oct 4, 2017

Source & corrections

Where this page comes from

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