Mark C Gregory

CRD 5714479 · Charles Schwab & Co., Inc. · El Segundo, CA

IA RegisteredBroker

Also appears in the source record as: Mark C. Gregory; Mark Christopher Gregory

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 6Series 10Series 9Series 66Series 63
Registered states (16): Arizona · California · Colorado · Florida · Hawaii · Idaho · Massachusetts · Michigan · Montana · Nevada · North Carolina · Oregon · South Carolina · Texas · Utah · Washington
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
El Segundo, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
El Segundo, CA · BC capacity

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

Sep 5, 2018 → May 19, 2024
Td Ameritrade Investment Management, LLC
Torrance, CA · IA capacity

Sep 5, 2018 → Sep 7, 2023
Td Ameritrade, Inc.
Torrance, CA · IA capacity

Sep 5, 2018 → Oct 14, 2022
Scottrade Investment Management
Saint Louis, MO · IA capacity

Jan 25, 2017 → Mar 8, 2018
Scottrade, Inc.
San Jose, CA · BC capacity

Apr 5, 2016 → Mar 8, 2018
E*trade Capital Management, LLC
Torrance, CA · IA capacity

Apr 7, 2014 → Mar 16, 2016
E*trade Securities LLC
Torrance, CA · BC capacity

Apr 4, 2014 → Mar 16, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Culver City, CA · IA capacity

Mar 20, 2012 → Mar 12, 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Culver City, CA · BC capacity

Mar 20, 2012 → Mar 12, 2014
Edward Jones
Culver City, CA · IA capacity

Oct 10, 2011 → Jan 13, 2012
Edward Jones
Culver City, CA · BC capacity

Jul 18, 2011 → Jan 13, 2012
Metlife Securities Inc.
Waltham, MA · BC capacity

Jan 14, 2010 → May 2, 2011

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5714479 ↗ FINRA BrokerCheck record for CRD 5714479 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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