Shawn Christopher Riggins

CRD 5372976 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Shawn C Riggins; Shawn Riggins

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 63
Registered states (1): Texas
Years in the industry (source record): 17
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 (13)

From the source registration record · current first

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

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

start not retrieved → present
Schwab Private Client Investment Advisory, Inc.
Westlake, TX · IA capacity

May 5, 2021 → May 25, 2022
Wfg Advisors, LP
Fort Worth, TX · IA capacity

Jul 20, 2015 → Aug 1, 2016
Wfg Investments, Inc.
Fort Worth, TX · BC capacity

Jul 20, 2015 → Aug 1, 2016
Park Avenue Securities LLC
Fort Worth, TX · IA capacity

Mar 20, 2015 → Jul 22, 2015
Park Avenue Securities LLC
Fort Worth, TX · BC capacity

Mar 20, 2015 → Jul 22, 2015
Rosenthal Retirement Planning, LP
Fort Worth, TX · IA capacity

Mar 9, 2009 → Mar 18, 2015
National Planning Corporation ("npc Of America" In Fl & Ny)
Forth Worth, TX · IA capacity

Jul 1, 2008 → Feb 17, 2015
National Planning Corporation
Forth Worth, TX · BC capacity

Jun 3, 2008 → Feb 17, 2015
Td Ameritrade, Inc.
Fort Worth, TX · IA capacity

Feb 26, 2008 → Jun 27, 2008
Amerivest Investment Management, LLC
Fort Worth, TX · IA capacity

Feb 26, 2008 → Jun 27, 2008
Td Ameritrade, Inc.
Fort Worth, TX · BC capacity

Oct 4, 2007 → Jun 27, 2008

Source & corrections

Where this page comes from

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