Alfred Z Avazis

CRD 4036139 · Charles Schwab & Co., Inc. · New York City, NY

IA RegisteredBroker

Also appears in the source record as: Alfred Zachary Avazis; Alfred Zachery Avazis; Al Avazis

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (8): Connecticut · Florida · Hawaii · Maryland · Massachusetts · New York · Rhode Island · Vermont
Years in the industry (source record): 25
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 (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · BC capacity

start not retrieved → present
Neuberger Berman LLC
New York, NY · IA capacity

Nov 29, 2004 → Jan 18, 2011
Neuberger Berman LLC
New York, NY · BC capacity

Nov 29, 2004 → Jan 18, 2011
Dreyfus Service Corporation
Uniondale, NY · IA capacity

Nov 20, 2003 → Jul 19, 2004
Dreyfus Service Corporation
New York, NY · BC capacity

Jun 16, 2003 → Jul 19, 2004
Hsbc Brokerage (USA) Inc.
New York, NY · BC capacity

Jul 11, 2002 → Jun 6, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Dec 9, 1999 → Jul 3, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4036139 ↗ FINRA BrokerCheck record for CRD 4036139 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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