Gareth William Vaz

CRD 5865304 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 3Series 66Series 63Series 65
Registered states (2): California · Colorado
Years in the industry (source record): 12
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
Lone Tree, CO · IA capacity

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

start not retrieved → present
Dimensional Fund Advisors LP
Austin, TX · IA capacity

Dec 16, 2019 → Sep 21, 2022
Dfa Securities LLC
Austin, TX · BC capacity

Dec 16, 2019 → Sep 21, 2022
American Funds Distributors, Inc.
Los Angeles, CA · IA capacity

Sep 7, 2018 → Oct 21, 2019
American Funds Distributors, Inc.
Los Angeles, CA · BC capacity

Sep 6, 2018 → Oct 21, 2019
Pimco Investments LLC
Newport Beach, CA · BC capacity

Feb 14, 2011 → Jul 1, 2013
Allianz Global Investors Distributors LLC
Newport Beach, CA · BC capacity

Jan 5, 2011 → Feb 14, 2011

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5865304 ↗ FINRA BrokerCheck record for CRD 5865304 ↗ 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.

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