Suraj Dip Gautam

CRD 5517183 · Charles Schwab & Co., Inc. · Westlake, TX

BrokerRegistration inactive

Also appears in the source record as: Suraj Gautam

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Inactive
Exams passed (5): SIESeries 7Series 10Series 9Series 66
Registered states (1): Texas
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 (14)

From the source registration record · current first

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

start not retrieved → present
Td Ameritrade, Inc.
Southlake, TX · BC capacity

Sep 4, 2018 → Dec 31, 2023
Strategic Advisers, Inc.
Westlake, TX · IA capacity

Sep 21, 2016 → Jul 5, 2017
Fidelity Brokerage Services LLC
Westlake, TX · BC capacity

Sep 14, 2016 → Jul 5, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Irving, TX · IA capacity

Aug 7, 2015 → Jun 20, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Irving, TX · BC capacity

Aug 7, 2015 → Jun 20, 2016
J.P. Morgan Securities LLC
Oakland, CA · IA capacity

Oct 1, 2012 → Jul 1, 2015
J.P. Morgan Securities LLC
Oakland, CA · BC capacity

Oct 1, 2012 → Jul 1, 2015
Chase Investment Services Corp.
Discovery Bay, CA · IA capacity

Nov 2, 2011 → Oct 1, 2012
Chase Investment Services Corp.
Discovery Bay, CA · BC capacity

Nov 2, 2011 → Oct 1, 2012
Wells Fargo Advisors, LLC
Emeryville, CA · IA capacity

Jan 3, 2011 → Feb 10, 2011
Wells Fargo Advisors, LLC
Emeryville, CA · BC capacity

Jan 3, 2011 → Feb 10, 2011
Wells Fargo Investments, LLC
Emeryville, CA · IA capacity

Jun 17, 2008 → Jan 3, 2011
Wells Fargo Investments, LLC
Emeryville, CA · BC capacity

Jun 4, 2008 → Jan 3, 2011

Source & corrections

Where this page comes from

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