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Wayne Henry Elmore

Charles Schwab & Co., Inc.

Castle Rock, CO

Boston, MA

CRD 6708213

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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
CO RA APPROVED 2022-01-25
TX RA APPROVED 2022-01-25
  • CO RA
    APPROVED
    Since 2022-01-25
  • TX RA
    APPROVED
    Since 2022-01-25

Branch Locations

Castle Rock, CO • United States

One International Place, Boston, MA 02110-2600 • 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 & Company, Inc. Naples FL 06/2016 12/2018
Wasmer Schroeder Dallas TX 01/2019 06/2020
Charles Schwab Investment Management, Inc Plano TX 07/2020 12/2020
Charles Schwab Investment Advisory, Inc. Lone Tree CO 12/2020 12/2021
Charles Schwab & Co., Inc. Castle Rock CO 12/2020 Present
Previous Registrations
  • 2021-02-08 → 2022-01-25
    Charles Schwab Investment Advisory, Inc.
    Plano, TX
    Lone Tree, CO
  • 2020-07-01 → 2021-02-08
    Charles Schwab Investment Management, Inc
    Plano, TX
    San Francisco, CA
  • 2017-01-10 → 2020-07-02
    Wasmer Schroeder
    Naples, FL
    Dallas, TX
    Dallas, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-03-08
S65 Uniform Investment Adviser Law Examination 2016-12-22
  • S63 Uniform Securities Agent State Law Examination
    2021-03-08
  • S65 Uniform Investment Adviser Law Examination
    2016-12-22
Other Names
  • Wayne Elmore

View on SEC IAPD

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