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Daniel W Griffith

Charles Schwab Investment Management, Inc

San Francisco, CA

Lone Tree, CO

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Current Employers
Charles Schwab Investment Management, Inc

425 Market Street Suite 1700, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-07-06
FL RA APPROVED 2020-07-13
  • CO RA
    APPROVED
    Since 2022-07-06
  • FL RA
    APPROVED
    Since 2020-07-13

Branch Locations

425 Market Street Suite 1700, San Francisco, CA 94105 • United States

9800 Schwab Way, Lone Tree, CO 80124 • 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
Wasmer, Schroeder Naples FL 10/2018 06/2020
Wasmer, Schroeder Naples FL 01/2018 10/2018
Wasmer, Schroeder Naples FL 03/2017 12/2017
Olde Florida Golf Club Naples FL 11/2016 03/2017
Unemployed Estero FL 08/2016 11/2016
Charles Schwab Investment Management, Inc. Lone Tree CO 07/2020 Present
  • 10/2018 → 06/2020
    Wasmer, Schroeder
    Naples, FL
  • 01/2018 → 10/2018
    Wasmer, Schroeder
    Naples, FL
  • 03/2017 → 12/2017
    Wasmer, Schroeder
    Naples, FL
  • 11/2016 → 03/2017
    Olde Florida Golf Club
    Naples, FL
  • 08/2016 → 11/2016
    Unemployed
    Estero, FL
  • 07/2020 → Present
    Charles Schwab Investment Management, Inc.
    Lone Tree, CO
Previous Registrations
  • 2019-11-05 → 2020-07-02
    Wasmer Schroeder
    Naples, FL
Other Businesses

Rental Property|Investment Related:No|482 Millwall Circle;Castle Pines;Colorado;80112;United States|Real Estate (Non-Agent/Broker)|Property Owner|2026-03-18|HoursPerMonth:|HoursSpentduringSecurityTrading:0|I own a secondary residence that I began renting March 18th. The property is entirely managed by a property manager.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-23
  • S65 Uniform Investment Adviser Law Examination
    2019-09-23
Other Names
  • Daniel William Griffith
  • Dan Griffith

View on SEC IAPD

Other Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
1SHARPE CAPITAL LLC
RBC SECURITIES, INC
STRATEGIC ADVISERS LLC
VALEAS CAPITAL PARTNERS
ZENTARA EXCHANGE LTD

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JOHN HUGH MCDEVITT
JOSEPH WADE PITTS
MARK ALLAN ANDERSON
RALPH MELVILLE DRYBROUGH
PAUL ROBERT TOUCHSTONE
Jacob David Mahoney
ROBIN TICKNOR BRINCKERHOFF

Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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