Joseph Ninivaggi

CRD 6158894 · Charles Schwab & Co., Inc. · Manhasset, NY

IA RegisteredBroker

Also appears in the source record as: Joseph P Ninivaggi; Joseph Peter Ninivaggi; Joseph Ninivaggi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (12): California · Connecticut · Florida · Massachusetts · Nevada · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · South Carolina · Texas
Years in the industry (source record): 11
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 6158894 contains one or more disclosure events as of Aug 20, 2026.

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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
Manhasset, NY · IA capacity

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

start not retrieved → present
Strategic Advisers LLC
Commack, NY · IA capacity

Mar 31, 2025 → Jun 11, 2026
Fidelity Brokerage Services LLC
Roslyn, NY · BC capacity

Feb 9, 2017 → Jun 11, 2026
Fidelity Personal And Workplace Advisors
New York, NY · IA capacity

Oct 28, 2019 → Mar 31, 2025
J.P. Morgan Securities LLC
South Lindenhurst, NY · BC capacity

Feb 6, 2015 → Aug 25, 2015
Woodstock Financial Group, Inc.
Garden City, NY · BC capacity

Jun 2, 2014 → Oct 23, 2014
Craig Scott Capital, LLC
Uniondale, NY · BC capacity

Apr 19, 2013 → Jun 2, 2014

Source & corrections

Where this page comes from

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