Troy M Mailloux

CRD 5294407 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Troy Michael Mailloux; Troy Mailloux

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 63Series 66
Registered states (8): California · Florida · Georgia · Kentucky · New York · North Carolina · Tennessee · Texas
Years in the industry (source record): 19
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 (17)

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
Marco Island, 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
Marco Island, FL · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Boca Raton, FL · BC capacity

Jul 27, 2021 → Dec 31, 2023
Td Ameritrade, Inc.
Boca Raton, FL · IA capacity

Oct 7, 2021 → Oct 14, 2022
Td Ameritrade Investment Management, LLC
Naples, FL · IA capacity

Dec 26, 2019 → Jan 29, 2021
Capitalrock Financial, LLC
Naples, FL · IA capacity

Dec 3, 2015 → Jan 31, 2017
Capitalrock Investments, LLC
Naples, FL · IA capacity

Mar 15, 2013 → Nov 7, 2016
Platinum Wealth Partners, Inc.
Naples, FL · IA capacity

Jun 10, 2016 → Nov 2, 2016
Quantitative Investment Decisions LLC
Naples, FL · IA capacity

May 28, 2015 → Mar 23, 2016
Purshe Kaplan Sterling Investments
Naples, FL · BC capacity

Mar 18, 2013 → Jul 3, 2014
First Allied Advisory Services, Inc.
Naples, FL · IA capacity

May 21, 2012 → Apr 1, 2013
First Allied Securities, Inc.
Naples, FL · BC capacity

Jan 10, 2012 → Mar 28, 2013
First Allied Securities, Inc.
Naples, FL · IA capacity

Jan 10, 2012 → Jul 2, 2012
Strategic Advisers, Inc.
Naples, FL · IA capacity

Apr 23, 2009 → Jan 4, 2012
Fidelity Brokerage Services LLC
Naples, FL · BC capacity

Apr 20, 2007 → Jan 3, 2012

Source & corrections

Where this page comes from

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