Charles O Hopkins

CRD 6346880 · Charles Schwab & Co., Inc. · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Charles Otis Hopkins; Charles Hopkins

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 (28): Arizona · California · Colorado · Connecticut · Florida · Hawaii · Idaho · Illinois · Kansas · Louisiana · Maine · Michigan · Missouri · Montana · Nevada · New Hampshire · New Mexico · New York · North Carolina · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Washington · Wisconsin
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 6346880 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 (7)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · IA capacity

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

start not retrieved → present
Bmo Direct Invest Inc.
Phoenix, AZ · IA capacity

Aug 24, 2023 → Oct 29, 2024
Bancwest Investment Services, Inc. (Bwis)
Tempe, AZ · IA capacity

May 3, 2018 → Aug 8, 2023
Bancwest Investment Services, Inc.
Tempe, AZ · BC capacity

May 3, 2018 → Aug 8, 2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Chandler, AZ · IA capacity

Oct 22, 2014 → May 14, 2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Chandler, AZ · BC capacity

Sep 23, 2014 → May 14, 2018

Source & corrections

Where this page comes from

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