Dorothy Ann Sperry

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

SIESeries 7Series 6Series 24Series 63Series 65

Registered states (21)

California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Maryland · Massachusetts · Michigan · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Puerto Rico · South Carolina · Virginia · West Virginia

Years in the industry (source record)

22

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (22)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  Sarasota, FL · BC capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Sarasota, FL · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Sarasota, FL · IA capacity
  start not retrieved → present
• Td Ameritrade, Inc.

  Sarasota, FL · BC capacity
  Oct 26, 2023 → May 19, 2024
• Empower Advisory Group, LLC

  Ponte Vedra, FL · IA capacity
  Mar 8, 2022 → Aug 16, 2023
• Empower Financial Services, Inc.

  Greenwood Village, CO · BC capacity
  Feb 23, 2022 → Aug 16, 2023
• Td Ameritrade, Inc.

  The Villages, FL · IA capacity
  Apr 29, 2020 → Feb 2, 2022
• Td Ameritrade Investment Management, LLC

  The Villages, FL · IA capacity
  Apr 7, 2020 → Feb 2, 2022
• Financial Engines Advisors L.L.C.

  Henrico, VA · IA capacity
  Oct 15, 2019 → Mar 11, 2020
• Scottrade Investment Management

  Jacksonville Beach, FL · IA capacity
  Apr 4, 2017 → Feb 26, 2018
• Scottrade, Inc.

  Gainesville, FL · BC capacity
  Mar 28, 2017 → Feb 26, 2018
• Fountain Financial Associates, Inc.

  Wilmington, NC · IA capacity
  Apr 29, 2016 → Aug 17, 2016
• Cetera Advisor Networks LLC

  Wilmington, NC · BC capacity
  Apr 22, 2016 → Aug 15, 2016
• Strategic Advisers, Inc.

  Sarasota, FL · IA capacity
  Jul 15, 2013 → Feb 1, 2016
• Fidelity Brokerage Services LLC

  Sarasota, FL · BC capacity
  Jun 17, 2013 → Jan 29, 2016
• Prudential Financial Planning Services

  Alachua, FL · IA capacity
  Apr 20, 2011 → May 31, 2013
• Pruco Securities, LLC.

  Alachua, FL · BC capacity
  Apr 14, 2011 → May 31, 2013
• Axa Advisors, LLC

  Gainesville, FL · IA capacity
  Dec 23, 2008 → Apr 18, 2011
• Axa Advisors, LLC

  Gainesville, FL · BC capacity
  Dec 16, 2008 → Apr 18, 2011
• Aig Retirement Advisors, Inc.

  Gainesville, FL · IA capacity
  Apr 14, 2004 → Dec 22, 2008
• Aig Retirement Advisors, Inc.

  Houston, TX · BC capacity
  Oct 16, 2003 → Dec 22, 2008
• Mml Investors Services, Inc.

  Springfield, MA · BC capacity
  May 26, 2003 → Oct 22, 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.

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