Wendy Ambrosius Grall

CRD 5749836 · Charles Schwab Investment Management, Inc · Lone Tree, CO

IA RegisteredRegistration inactive

Also appears in the source record as: Wendy Ann Ambrosius

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Inactive
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (1): Colorado
Years in the industry (source record): 16
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 Investment Management, Inc
Firm CRD: 106753
SEC number: 801-35905
Assets under management: $1.7T as of Mar 30, 2026
Website: www.thomaspartnersinvestmentmanagement.com ↗
Phone: 800-650-9744
Firm location: San Francisco, CA, 94105

Employment history (7)

From the source registration record · current first

Charles Schwab Investment Management, IncCurrent
Lone Tree, CO · IA capacity

Sep 11, 2025 → present
Wells Fargo Investment Institute, Inc.
IA capacity

Nov 30, 2021 → May 7, 2025
Piper Jaffray & Co.
IA capacity

Jan 4, 2017 → Jun 8, 2017
Piper Jaffray & Co.
BD capacity

Oct 10, 2015 → Jun 8, 2017
Piper Jaffray Investment Management, LLC
IA capacity

Oct 17, 2016 → Dec 31, 2016
Bmo Capital Markets Gkst Inc.
BD capacity

Aug 1, 2012 → Oct 19, 2015
M&i Financial Advisors, Inc
BD capacity

Feb 15, 2010 → Jul 24, 2012

Source & corrections

Where this page comes from

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