Michael Stephen Muldoon

CRD 6306268 · Charles Schwab & Co., Inc. · Tysons Corner, VA

IA RegisteredBroker

Also appears in the source record as: Michael S Muldoon; Michael Muldoon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 7Series 63Series 66
Registered states (24): Arizona · California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Kentucky · Maryland · Massachusetts · Michigan · Mississippi · Missouri · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virgin Islands · Virginia · West Virginia
Years in the industry (source record): 7
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 (16)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Tysons Corner, VA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Tysons Corner, VA · IA capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Tysons Corner, VA · IA capacity

start not retrieved → present
Legacy Wealth Management Inc.
Manassas, VA · IA capacity

Apr 11, 2023 → Aug 31, 2023
Grove Point Investments, LLC
Ocean City, MD · BC capacity

Aug 29, 2022 → Dec 22, 2022
Grove Point Advisors, LLC
Herndon, VA · IA capacity

Jul 8, 2022 → Dec 22, 2022
Spire Wealth Management, LLC
Mclean, VA · IA capacity

Mar 10, 2020 → Mar 23, 2020
Spire Securities, LLC
Mclean, VA · BC capacity

Mar 10, 2020 → Mar 23, 2020
Td Ameritrade Investment Management, LLC
Fairfax, VA · IA capacity

Mar 11, 2019 → Mar 11, 2020
Td Ameritrade, Inc.
Fairfax, VA · IA capacity

Mar 8, 2019 → Mar 11, 2020
Td Ameritrade, Inc.
Fairfax, VA · BC capacity

Mar 8, 2019 → Mar 11, 2020
Spc Financial Inc
Rockville, MD · IA capacity

Nov 24, 2015 → Dec 22, 2017
Raymond James Financial Services, Inc.
Rockville, MD · BC capacity

May 20, 2015 → Oct 13, 2017
Raymond James Financial Services Advisors, Inc
Rockville, MD · IA capacity

May 21, 2015 → Jun 16, 2015
Ameriprise Financial Services, Inc.
Vienna, VA · IA capacity

Aug 6, 2014 → Apr 22, 2015
Ameriprise Financial Services, Inc.
Vienna, VA · BC capacity

May 2, 2014 → Apr 22, 2015

Source & corrections

Where this page comes from

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