Samuel Asher Schwartz

CRD 5301470 · Charles Schwab & Co., Inc. · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Sam Schwartz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 99TOSIESeries 7Series 6Series 10Series 9Series 66
Registered states (4): Arizona · California · Colorado · 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 (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Los Angeles, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Los Angeles, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Los Angeles, CA · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Los Angeles, CA · BC capacity

Jul 1, 2022 → Jul 29, 2024
Td Ameritrade, Inc.
Los Angeles, CA · IA capacity

Jul 1, 2022 → Oct 14, 2022
Fidelity Personal And Workplace Advisors
Los Angeles, CA · IA capacity

Sep 19, 2018 → Jul 22, 2020
Fidelity Brokerage Services LLC
Los Angeles, CA · BC capacity

Sep 17, 2018 → Jul 21, 2020
Pacific Select Distributors, Inc.
Newport Beach, CA · BC capacity

Apr 27, 2007 → Aug 6, 2007

Source & corrections

Where this page comes from

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