Christopher Caro

CRD 4927010 · Charles Schwab & Co., Inc. · Orlando, FL

IA RegisteredBroker

Also appears in the source record as: Christopher Nelson Caro

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 52TOSeries 57TOSeries 99TOSIESeries 55Series 7Series 4Series 24Series 63
Registered states (52): 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 · 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

The official record for CRD 4927010 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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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 (6)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Orlando, FL · BC capacity

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

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Orlando, FL · IA capacity

start not retrieved → present
Bny Mellon Capital Markets, LLC
Lake Mary, FL · BC capacity

Apr 12, 2024 → May 15, 2025
Pershing LLC
Lake Mary, FL · BC capacity

Apr 27, 2011 → May 15, 2025
Terra Nova Trading, L.L.C.
New York, NY · BC capacity

Mar 24, 2005 → Jul 19, 2005

Source & corrections

Where this page comes from

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