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Daniel J Roberts

Charles Schwab & Co., Inc.

Howard Beach, NY

Lone Tree, CO

CRD 5715351

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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
NY RA APPROVED 2026-01-02
NJ RA APPROVED 2022-04-01
  • NY RA
    APPROVED
    Since 2026-01-02
  • NJ RA
    APPROVED
    Since 2022-04-01

Branch Locations

Howard Beach, NY • 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
Tdameritrade, Inc Jersey City NJ 10/2013 12/2022
Charles Schwab And Co., Inc. Jersey City NJ 12/2022 Present
  • 10/2013 → 12/2022
    Tdameritrade, Inc
    Jersey City, NJ
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Jersey City, NJ
Previous Registrations
  • 2013-11-20 → 2023-07-06
    Td Ameritrade Investment Management, Llc
    Jersey City, NJ
  • 2013-11-20 → 2022-10-14
    Td Ameritrade, Inc.
    Jersey City, NJ
    Jersey City, NJ
Other Businesses

UTZ Snack Route/Vending|Investment Related:No|Wholesale Trade/Import-Export|Owner Operator |2024-10-25|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|I own a snack and vending distribution route

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-15
S63 Uniform Securities Agent State Law Examination 2011-01-18
  • S66 Uniform Combined State Law Examination
    2013-11-15
  • S63 Uniform Securities Agent State Law Examination
    2011-01-18
Designations
  • Chartered Financial Analyst
Other Names
  • Daniel Roberts
  • Dan Nigro
  • Daniel J Nigro

View on SEC IAPD

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