Christopher Thomas Wells

CRD 5525102 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Chris Wells; Christopher T Wells

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 52TOSIESeries 7Series 53Series 24Series 66Series 65Series 63
Registered states (2): California · Colorado
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 (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Sii Investments, Inc.
Appleton, WI · BC capacity

May 12, 2016 → Sep 10, 2018
Investment Centers Of America, Inc.
Appleton, WI · BC capacity

May 12, 2016 → Sep 10, 2018
Invest Financial Corporation
Appleton, WI · BC capacity

May 12, 2016 → Sep 10, 2018
National Planning Corporation
Denver, CO · BC capacity

Oct 16, 2012 → Sep 10, 2018
National Planning Corporation ("npc Of America" In Fl & Ny)
Denver, CO · IA capacity

Jan 17, 2017 → Jun 25, 2018
Curian Clearing, LLC
Denver, CO · BC capacity

Aug 21, 2015 → Mar 24, 2016

Source & corrections

Where this page comes from

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