Vincent Emil Zupo

CRD 4408548 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Vince Zupo; Vincent Zupo; Vinny Emil Zupo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 7TOSIESeries 6Series 7Series 65Series 63Series 66
Registered states (1): California
Years in the industry (source record): 19
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 (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
San Diego, CA · IA capacity

start not retrieved → present
Sage Rhino Capital LLC
San Diego, CA · IA capacity

Jul 23, 2025 → Apr 15, 2026
Alphacore Capital LLC
La Jolla, CA · IA capacity

Apr 14, 2023 → Apr 4, 2025
Amg Distributors, Inc.
Stamford, CT · BC capacity

Oct 14, 2013 → Feb 10, 2022
Bradford & Marzec, LLC
Los Angeles, CA · IA capacity

Jan 13, 2011 → Nov 7, 2012
Pioneer Institutional Asset Management, Inc.
Boston, MA · IA capacity

Apr 22, 2008 → Jan 19, 2010
Pioneer Funds Distributor, Inc.
Boston, MA · BC capacity

Apr 16, 2008 → Jan 19, 2010
Pfpc Distributors, Inc.
Portland, ME · BC capacity

Jan 2, 2008 → Apr 21, 2008
Sei Investments Distribution Co.
Oaks, PA · BC capacity

Jan 21, 2004 → Dec 31, 2007
Sands Brothers & Co., Ltd.
New York, NY · BC capacity

Oct 25, 2001 → Jul 26, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4408548 ↗ FINRA BrokerCheck record for CRD 4408548 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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