Stephen James Ross

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → 10/2022
  Capital Group / American Funds Distributors, Inc.
  San Antonio, TX
• 11/2022 → 03/2025
  Dimensional Fund Advisors Lp / Dfa Securities Llc
  Austin, TX
• 05/2025 → 01/2026
  Capital Group / Capital Client Group, Inc.
  Los Angeles, CA
• 11/2024 → Present
  Bmi Publishing
  Austin, TX
• 01/2026 → Present
  Charles Schwab & Co., Inc
  Austin, TX
• 01/2026 → Present
  Charles Schwab Bank
  Austin, TX

Previous Registrations

• 2025-05-23 → 2026-01-14
  Capital Client Group, Inc.
  Los Angeles, CA
  Austin, TX
• 2022-11-21 → 2025-04-07
  Dimensional Fund Advisors Lp
  Austin, TX
• 2018-08-06 → 2022-10-17
  Capital Client Group, Inc.
  San Antonio, TX

Other Businesses

1) BMI Publishing | Investment Related:No||Broadcasting/Music/Film|Songwriter|2024-01-01|Less than 20|0|This is 100% passive. 15 years ago, I was a songwriter and musician. At that time, songs I wrote or helped write were sold to various radio, tv, and film outlets. I still get paid roughly $250/year from these royalties.

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-08-04
• S63 Uniform Securities Agent State Law Examination
  2018-03-09