Christopher Nicholas Fili

CRD 4541540 · Charles Schwab & Co., Inc. · Omaha, NE

IA RegisteredBroker

Also appears in the source record as: Chris Fili; Christopher N Fili; Christopher Nicholas (Nick) Fili; Nick Fili

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 7TOSIESeries 22Series 39Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 15
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 (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Omaha, NE · BC capacity

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

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

start not retrieved → present
Td Ameritrade Investment Management, LLC
Omaha, NE · IA capacity

Apr 26, 2021 → Sep 7, 2023
Td Ameritrade, Inc.
Omaha, NE · BC capacity

Oct 19, 2020 → Sep 1, 2023
Td Ameritrade, Inc.
Omaha, NE · IA capacity

Apr 26, 2021 → Oct 14, 2022
Guardian Direct Energy Programs, Inc.
Southlake, TX · BC capacity

Jun 3, 2011 → Jan 2, 2013
M & W Financial Inc.
Southlake, TX · BC capacity

Sep 30, 2008 → Nov 10, 2010
Couch Financial Services, Inc.
Dallas, TX · BC capacity

Nov 5, 2007 → Jan 30, 2008
Reef Securities, Inc.
Richardson, TX · BC capacity

Jun 12, 2002 → Oct 29, 2007

Source & corrections

Where this page comes from

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