Christopher Robert Ferguson

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

Authority	Category	Status	Date
NY	RA	APPROVED	2023-09-06
NJ	RA	APPROVED	2006-03-22

NY RA
APPROVED

Since 2023-09-06
NJ RA
APPROVED

Since 2006-03-22

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

Lynbrook, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Lynbrook	NY	08/1998	Present

08/1998 → Present

Charles Schwab & Co., Inc.

Lynbrook, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-01-30
S63	Uniform Securities Agent State Law Examination	1988-11-22

S66 Uniform Combined State Law Examination

2006-01-30
S63 Uniform Securities Agent State Law Examination

1988-11-22

Other Names

Chris Ferguson
Christopher R Ferguson

View on SEC IAPD