Monica Elena Zamfir

CRD 5414679 · Charles Schwab & Co., Inc. · Tysons Corner, VA

IA RegisteredBroker

Also appears in the source record as: Monica Elena Rosianu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 6TOSIESeries 7Series 6Series 65Series 63
Registered states (17): Arizona · Colorado · Delaware · District Of Columbia · Florida · Georgia · Illinois · Maryland · Massachusetts · New Jersey · New York · Oregon · Pennsylvania · South Carolina · Texas · Virginia · West Virginia
Years in the industry (source record): 15
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
Tysons Corner, VA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Tysons Corner, VA · IA capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Tysons Corner, VA · IA capacity

start not retrieved → present
American Global Wealth Management, Inc.
Hanover, MD · BC capacity

Jan 5, 2023 → May 12, 2025
Cape Investment Advisory, Inc.
Hanover, MD · IA capacity

Jul 26, 2022 → May 12, 2025
Cape Securities Inc.
Hanover, MD · BC capacity

Jul 22, 2022 → Jan 2, 2023
Fidelity Personal And Workplace Advisors
Bethesda, MD · IA capacity

Aug 25, 2020 → Jun 22, 2022
Fidelity Brokerage Services LLC
Bethesda, MD · BC capacity

Aug 4, 2020 → Jun 17, 2022
Td Ameritrade, Inc.
North Bethesda, MD · IA capacity

May 29, 2019 → Jun 23, 2020
Td Ameritrade Investment Management, LLC
North Bethesda, MD · IA capacity

May 29, 2019 → Jun 23, 2020
Td Ameritrade, Inc.
North Bethesda, MD · BC capacity

May 24, 2019 → Jun 23, 2020
Financial Engines Advisors L.L.C.
Bethesda, MD · IA capacity

Nov 1, 2018 → May 22, 2019
Edelman Financial Services, LLC
Bethesda, MD · IA capacity

Sep 19, 2016 → Nov 1, 2018
Ef Legacy Securities, LLC
Bethesda, MD · BC capacity

Apr 22, 2016 → Oct 31, 2018
Sanders Morris Harris LLC
Bethesda, MD · BC capacity

Jun 23, 2015 → Apr 22, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Lincoln, RI · BC capacity

Oct 23, 2009 → Oct 18, 2012
Banc Of America Investment Services, Inc.
Lincoln, RI · BC capacity

Oct 19, 2007 → Oct 23, 2009

Source & corrections

Where this page comes from

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