Best Investors Account Sign in

Carolyn R Vaeth

Charles Schwab & Co., Inc.

New York City, NY

CRD 7541945

Claim This Profile
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 2023-05-12
NY RA APPROVED 2023-02-14
  • TX RA
    APPROVED
    Since 2023-05-12
  • NY RA
    APPROVED
    Since 2023-02-14

Branch Locations

1133 Avenue Of The Americas, New York City, NY 10036-6717 • 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
Usi Consulting Group Glastonbury CT 05/2019 10/2022
Usi Advisors Glastonbury CT 04/2022 10/2022
Chernoff Diamond Uniondale NY 09/2013 05/2019
Charles Schwab & Co., Inc. New York NY 10/2022 Present
Charles Schwab Bank, Ssb New York NY 11/2022 Present
  • 05/2019 → 10/2022
    Usi Consulting Group
    Glastonbury, CT
  • 04/2022 → 10/2022
    Usi Advisors
    Glastonbury, CT
  • 09/2013 → 05/2019
    Chernoff Diamond
    Uniondale, NY
  • 10/2022 → Present
    Charles Schwab & Co., Inc.
    New York, NY
  • 11/2022 → Present
    Charles Schwab Bank, Ssb
    New York, NY
Previous Registrations
  • 2022-05-12 → 2022-10-14
    Usi Advisors
    Glastonbury, CT
    Uniondale, NY
Other Businesses

1) Sandpiper Medical | Investment Related:No|4 O'Neill Ave|Bay Shore|New York|11706|United States|Wholesale Trade/Import-Export|Co-Founder|4/16/2020|Less than 20|0|Business Development, Client Relations

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-03-31
S65 Uniform Investment Adviser Law Examination 2022-04-04
  • S63 Uniform Securities Agent State Law Examination
    2023-03-31
  • S65 Uniform Investment Adviser Law Examination
    2022-04-04
Other Names
  • Carolyn Vaeth

View on SEC IAPD

Nearby Firms

HIGHTOWER ADVISORS, LLC
CIBC PRIVATE WEALTH ADVISORS, INC.
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Nearby Investors

JOSEPH MICHAEL CANTORE
PATRICK FRUZZETTI
Benjamin James Johnston

Nearby Offices

HIGHTOWER ADVISORS, LLC · New York City, NY
CIBC PRIVATE WEALTH ADVISORS, INC. · New York, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · NEW YORK, NY

More in New York City, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor