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Ian William Smith

Charles Schwab & Co., Inc.

Fairfield, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-03-11
  • CT RA
    APPROVED
    Since 2025-03-11

Branch Locations

1248 Post Road Suite 100, Fairfield, CT 06824-6008 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa New York NY 04/2016 09/2022
Tiaa-Cref Individual & Institutional Services, Llc New York NY 04/2016 09/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 09/2022 12/2024
Bank Of America N.A. New York NY 12/2022 12/2024
Charles Schwab & Co., Inc. Fairfield CT 03/2025 Present
Charles Schwab Bank, Ssb Fairfield CT 03/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-01
S63 Uniform Securities Agent State Law Examination 2010-08-05
  • S66 Uniform Combined State Law Examination
    2016-06-01
  • S63 Uniform Securities Agent State Law Examination
    2010-08-05
Other Names
  • Ian W Smith
  • Ian William Smith

View on SEC IAPD

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Other Offices

HERBERT J. SIMS CAPITAL MANAGEMENT, INC. · FAIRFIELD, CT
MONECO ADVISORS · FAIRFIELD, CT
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairfield, CT
MONECO ADVISORS · FAIRFIELD, CT
JANNEY MONTGOMERY SCOTT LLC · Fairfield, CT
EDGEWOOD CAPITAL ADVISORS, LLC · SOUTHPORT, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Southport, CT
DAYMARK WEALTH PARTNERS, LLC · Southport, CT

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