Cynthia Mary Niesen

CRD 4686933 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Cynthia M. Niesen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 31Series 7Series 66
Registered states (40): Alabama · Arizona · California · Colorado · Connecticut · Florida · Georgia · Idaho · Illinois · Indiana · Kentucky · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 21
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 (15)

From the source registration record · current first

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

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

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

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

start not retrieved → present
Usaa Investment Management Company
Tampa, FL · IA capacity

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

Aug 20, 2014 → May 24, 2020
Usaa Financial Planning Services
Vienna, VA · IA capacity

Aug 20, 2014 → Jan 8, 2018
Citigroup Global Markets Inc.
New York, NY · IA capacity

Jan 10, 2012 → Aug 7, 2014
Citigroup Global Markets Inc.
New York, NY · BC capacity

Jan 10, 2012 → Aug 7, 2014
Nylife Securities LLC
New York, NY · BC capacity

Jan 14, 2010 → Jan 10, 2012
Seidman Private Advisors LLC
Kirkland, WA · IA capacity

Mar 2, 2010 → Dec 21, 2011
Ubs Financial Services Inc.
New York, NY · BC capacity

Sep 21, 2006 → May 13, 2009
Morgan Stanley
New York, NY · IA capacity

Jan 3, 2006 → Jun 2, 2006
Morgan Stanley Dw Inc.
New York, NY · BC capacity

Apr 7, 2004 → Jun 2, 2006
Hsbc Securities (USA) Inc.
New York City, NY · BC capacity

Nov 28, 2003 → Jan 2, 2004

Source & corrections

Where this page comes from

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