Roberto Vargas

CRD 4301417 · Charles Schwab & Co., Inc. · Palm Beach Gardens, FL

IA RegisteredBroker

Also appears in the source record as: Robert Carlo Vargas; Roberto Carlo Vargas; Roberto Vargas

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 65
Registered states (5): Colorado · Florida · New Mexico · Texas · Virginia
Years in the industry (source record): 22
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 (16)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Palm Beach Gardens, FL · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Palm Beach Gardens, FL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Palm Beach Gardens, FL · IA capacity

start not retrieved → present
Ameriprise Financial Services, LLC
Jupiter, FL · IA capacity

Jun 30, 2023 → Jul 22, 2025
Ameriprise Financial Services, LLC
Jupiter, FL · BC capacity

Jun 30, 2023 → Jul 22, 2025
J.P. Morgan Securities LLC
Lake Worth, FL · IA capacity

Nov 27, 2017 → Jul 1, 2023
J.P. Morgan Securities LLC
Lake Worth, FL · BC capacity

Nov 27, 2017 → Jul 1, 2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Palm Beach Gardens, FL · IA capacity

Oct 4, 2010 → Nov 28, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Palm Beach Gardens, FL · BC capacity

Oct 1, 2010 → Nov 28, 2017
Morgan Stanley Smith Barney LLC
San Diego, CA · IA capacity

Jun 1, 2009 → Oct 29, 2010
Morgan Stanley Smith Barney
San Diego, CA · BC capacity

Jun 1, 2009 → Oct 29, 2010
Citigroup Global Markets Inc.
San Diego, CA · IA capacity

Jan 8, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
San Diego, CA · BC capacity

Jan 8, 2007 → Jun 1, 2009
Banc Of America Investment Services, Inc.
San Diego, CA · IA capacity

Jul 30, 2004 → Jan 9, 2007
Banc Of America Investment Services, Inc.
San Diego, CA · BC capacity

Jun 21, 2004 → Jan 9, 2007
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Mar 17, 2004 → May 28, 2004

Source & corrections

Where this page comes from

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