Adam Scott Hargis

CRD 6063639 · Charles Schwab & Co., Inc. · Chesterfield, MO

IA RegisteredBroker

Also appears in the source record as: Adam Hargis

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 10Series 9Series 66
Registered states (24): Arizona · Arkansas · California · Colorado · Florida · Georgia · Idaho · Illinois · Iowa · Kansas · Maryland · Michigan · Minnesota · Missouri · Montana · Nebraska · New York · Ohio · Oklahoma · South Carolina · Texas · Utah · Washington · Wisconsin
Years in the industry (source record): 13
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
Chesterfield, MO · IA capacity

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

start not retrieved → present
Td Ameritrade, Inc.
Chesterfield, MO · BC capacity

Feb 26, 2018 → May 19, 2024
Td Ameritrade Investment Management, LLC
Chesterfield, MO · IA capacity

Feb 26, 2018 → Sep 7, 2023
Td Ameritrade, Inc.
Chesterfield, MO · IA capacity

Feb 27, 2018 → Oct 14, 2022
Scottrade Investment Management
Saint Louis, MO · IA capacity

Jun 22, 2016 → Feb 26, 2018
Scottrade, Inc.
Desperes, MO · BC capacity

Jul 15, 2014 → Feb 26, 2018
Edward Jones
Overland Park, KS · IA capacity

Aug 12, 2013 → Jun 25, 2014
Edward Jones
Overland Park, KS · BC capacity

Jul 24, 2013 → Jun 25, 2014

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6063639 ↗ FINRA BrokerCheck record for CRD 6063639 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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