Christopher Hathaway

CRD 4395186 · Charles Schwab & Co., Inc. · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: Chris Carroll Hathaway; Chris Hathaway; Christopher C Hathaway

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 31Series 7Series 66
Registered states (9): Arizona · California · Colorado · Florida · Indiana · Massachusetts · Oregon · Rhode Island · Texas
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4395186 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 (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Dallas, TX · IA capacity

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

start not retrieved → present
Lpl Financial LLC
Mckinney, TX · IA capacity

Sep 27, 2023 → Mar 13, 2026
Lpl Financial LLC
Mckinney, TX · BC capacity

Sep 27, 2023 → Mar 13, 2026
Northwestern Mutual Investment Services,llc
Dallas, TX · IA capacity

Sep 22, 2016 → Oct 6, 2023
Northwestern Mutual Investment Services, LLC
Dallas, TX · BC capacity

Sep 21, 2016 → Oct 6, 2023
Wells Fargo Advisors, LLC
Frisco, TX · IA capacity

Aug 30, 2013 → Aug 3, 2016
Wells Fargo Advisors, LLC
Frisco, TX · BC capacity

Aug 30, 2013 → Aug 3, 2016
Ubs Financial Services Inc.
Dallas, TX · IA capacity

Feb 22, 2008 → Sep 9, 2013
Ubs Financial Services Inc.
Dallas, TX · BC capacity

Feb 22, 2008 → Sep 9, 2013
Morgan Stanley & Co., Incorporated
Dallas, TX · IA capacity

Apr 2, 2007 → Feb 25, 2008
Morgan Stanley & Co., Incorporated
Dallas, TX · BC capacity

Apr 2, 2007 → Feb 25, 2008
Morgan Stanley
Dallas, TX · IA capacity

Aug 27, 2001 → Apr 2, 2007
Morgan Stanley Dw Inc.
Dallas, TX · BC capacity

Aug 10, 2001 → Apr 2, 2007

Source & corrections

Where this page comes from

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