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Richard Matthew Fleming

Charles Schwab & Co., Inc.

Austin, TX

CRD 7410252

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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:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-08
  • TX RA
    APPROVED
    Since 2026-07-08

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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
Charles Schwab & Co., Inc. Austin TX 07/2021 Present
Jay Gore Inc Stratford 06/2019 06/2019
Kool Toyota Grand Rapids MI 03/2017 09/2017
University Of Waterloo Waterloo 09/2016 04/2017
University Of Waterloo Waterloo 09/2017 04/2018
Unemployed Grand Rapids MI 04/2018 09/2018
University Of Waterloo Waterloo 09/2018 04/2019
University Of Waterloo Waterloo 08/2019 04/2020
Unemployed Grand Rapids MI 04/2020 09/2020
University Of Waterloo Waterloo 09/2020 04/2021
Charles Schwab Bank, Ssb Austin TX 07/2024 Present
  • 07/2021 → Present
    Charles Schwab & Co., Inc.
    Austin, TX
  • 06/2019 → 06/2019
    Jay Gore Inc
    Stratford
  • 03/2017 → 09/2017
    Kool Toyota
    Grand Rapids, MI
  • 09/2016 → 04/2017
    University Of Waterloo
    Waterloo
  • 09/2017 → 04/2018
    University Of Waterloo
    Waterloo
  • 04/2018 → 09/2018
    Unemployed
    Grand Rapids, MI
  • 09/2018 → 04/2019
    University Of Waterloo
    Waterloo
  • 08/2019 → 04/2020
    University Of Waterloo
    Waterloo
  • 04/2020 → 09/2020
    Unemployed
    Grand Rapids, MI
  • 09/2020 → 04/2021
    University Of Waterloo
    Waterloo
  • 07/2024 → Present
    Charles Schwab Bank, Ssb
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-07-07
S63 Uniform Securities Agent State Law Examination 2023-12-22
  • S66 Uniform Combined State Law Examination
    2026-07-07
  • S63 Uniform Securities Agent State Law Examination
    2023-12-22
Other Names
  • Richard M Fleming
  • Richie Fleming

View on SEC IAPD

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