Andrew William Clifton

CRD 6346635 · Charles Schwab & Co., Inc. · Westlake, TX

BrokerRegistration inactive

Also appears in the source record as: Andrew William Clifton Mr.; Andrew Clifton; Drew Clifton

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Inactive
Exams passed (5): Series 7TOSIESeries 7Series 63Series 65
Registered states (45): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 4
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 (7)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Cetera Investment Advisers LLC
Frisco, TX · IA capacity

Nov 6, 2017 → Jul 9, 2018
Cetera Financial Specialists LLC
Frisco, TX · BC capacity

Nov 6, 2017 → Jul 9, 2018
Hilltop Securities Inc.
Plano, TX · IA capacity

Feb 14, 2017 → Sep 18, 2017
Hilltop Securities Inc.
Plano, TX · BC capacity

Oct 13, 2014 → Sep 18, 2017
Tradingblock
Chicago, IL · BC capacity

Jun 23, 2014 → Oct 10, 2014
H.D. Vest Investment Services
Baytown, TX · BC capacity

Aug 28, 2014 → Sep 17, 2014

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 6346635 ↗ FINRA BrokerCheck record for CRD 6346635 ↗ 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.