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Daniel Richards

Charles Schwab & Co., Inc.

Montville, NJ

Lone Tree, CO

CRD 2082929

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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 2023-04-25
NJ RA APPROVED 2019-02-28
  • TX RA
    APPROVED
    Since 2023-04-25
  • NJ RA
    APPROVED
    Since 2019-02-28

Branch Locations

Montville, NJ • 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
Citigroup Global Markets Inc. New York NY 07/1993 11/2018
Charles Schwab & Co., Inc. Jersey City NJ 02/2019 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-06
S63 Uniform Securities Agent State Law Examination 1990-10-05
  • S65 Uniform Investment Adviser Law Examination
    1992-05-06
  • S63 Uniform Securities Agent State Law Examination
    1990-10-05
Designations
  • Certified Financial Planner

View on SEC IAPD

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