Christopher Michael Barozie

CRD 4416249 · Charles Schwab & Co., Inc. · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Chris M Barozie; Chris Barozie

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 9Series 10Series 66
Registered states (2): Arizona · California
Years in the industry (source record): 24
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 (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Phoenix, AZ · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Phoenix, AZ · IA capacity

start not retrieved → present
Usaa Investment Management Company
San Antonio, TX · IA capacity

Jan 8, 2018 → May 24, 2020
Usaa Financial Advisors, Inc.
Phoenix, AZ · BC capacity

Nov 26, 2013 → May 24, 2020
Usaa Financial Planning Services
Phoenix, AZ · IA capacity

Dec 13, 2013 → Jan 8, 2018
J.P. Morgan Securities LLC
Phoenix, AZ · IA capacity

Oct 1, 2012 → Nov 14, 2013
J.P. Morgan Securities LLC
Phoenix, AZ · BC capacity

Oct 1, 2012 → Nov 14, 2013
Chase Investment Services Corp.
Phoenix, AZ · IA capacity

May 30, 2006 → Oct 1, 2012
Chase Investment Services Corp.
Phoenix, AZ · BC capacity

May 30, 2006 → Oct 1, 2012
Vanguard Marketing Corporation
Scottsdale, AZ · BC capacity

Jan 14, 2003 → Apr 12, 2006
American Express Financial Advisors, Inc.
Owings Mills, MD · IA capacity

Sep 28, 2001 → May 23, 2002
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Aug 23, 2001 → May 23, 2002
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

Aug 23, 2001 → May 23, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4416249 ↗ FINRA BrokerCheck record for CRD 4416249 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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