Sarjoo Narendra Patel

CRD 4473967 · Charles Schwab Investment Management, Inc · Westlake, TX

IA RegisteredRegistration inactive

Also appears in the source record as: Sarju Patel

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Inactive
Investment adviser registration: Active
Exams passed (8): Series 66Series 65Series 63Series 24Series 99TOSIESeries 7Series 6
Registered states (1): Texas
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 Investment Management, Inc
Firm CRD: 106753
SEC number: 801-35905
Assets under management: $1.7T as of Mar 30, 2026
Website: www.thomaspartnersinvestmentmanagement.com ↗
Phone: 800-650-9744
Firm location: San Francisco, CA, 94105

Employment history (13)

From the source registration record · current first

Charles Schwab Investment Management, IncCurrent
Westlake, TX · IA capacity

Jan 28, 2025 → present
Charles Schwab & Co., Inc.
IA capacity

Aug 10, 2020 → Jan 28, 2025
Charles Schwab & Co., Inc.
BD capacity

Jul 30, 2020 → Jan 28, 2025
Usaa Financial Advisors, Inc.
BD capacity

Aug 7, 2018 → Jun 16, 2020
Usaa Investment Services Company
IA capacity

Jun 1, 2016 → Jun 16, 2020
Usaa Investment Management Company
BD capacity

May 27, 2016 → Aug 30, 2018
Usaa Financial Planning Services
IA capacity

Apr 22, 2013 → May 27, 2016
Usaa Financial Advisors, Inc.
BD capacity

Nov 6, 2010 → May 27, 2016
Usaa Investment Management Company
IA capacity

Dec 6, 2010 → Apr 12, 2013
Usaa Financial Planning Services
IA capacity

Jul 6, 2005 → Jan 5, 2007
Usaa Financial Advisors, Inc.
BD capacity

Jun 21, 2005 → Jan 5, 2007
Usaa Investment Management Company
BD capacity

Oct 2, 2003 → Jun 22, 2005
Citicorp Investment Services
BD capacity

Dec 4, 2001 → Sep 5, 2003

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4473967 ↗ FINRA BrokerCheck record for CRD 4473967 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.