Nicole S Neals

CRD 5834473 · Charles Schwab & Co., Inc. · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Nicole Shenae Neals; Nicole Neals

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (33): Arizona · Arkansas · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Kansas · Maine · Maryland · Massachusetts · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Washington · West Virginia · Wisconsin · Wyoming
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 (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Phoenix, AZ · BC capacity

start not retrieved → present
Usaa Investment Services Company
Chandler, AZ · IA capacity

Nov 6, 2020 → Nov 11, 2020
Usaa Investment Services Company
San Antonio, TX · BC capacity

Jun 8, 2020 → Nov 11, 2020
Usaa Financial Advisors, Inc.
Phoenix, AZ · BC capacity

Jun 24, 2011 → Jun 8, 2020
Usaa Financial Planning Services
Chandler, AZ · IA capacity

Jul 7, 2011 → Jan 8, 2018
Edward Jones
Tempe, AZ · IA capacity

Oct 15, 2010 → Apr 27, 2011
Edward Jones
Tempe, AZ · BC capacity

Sep 27, 2010 → Apr 27, 2011

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5834473 ↗ FINRA BrokerCheck record for CRD 5834473 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.