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CHARLES SCHWAB & CO., INC.

SAN FRANCISCO, CA · CRD 5393 · IAPD ↗ · 415-667-7000

$0Regulatory AUM
4127Advisory reps
30690Employees
955800Clients
More than 500Planning clients
0Private funds
52States
21Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
October 2026 — CHARLES SCHWAB & CO., INC.'s Item 11 disclosure-reporting entries rose by 1 (20 -> 21).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2026 — CHARLES SCHWAB & CO., INC. moved its main office from LONE TREE, CO to SAN FRANCISCO, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
April 2026 — CHARLES SCHWAB & CO., INC. added office(s): 448 -> 449 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
80
April 2026 — CHARLES SCHWAB & CO., INC. grew from 3692 to 4127 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
January 2026 — CHARLES SCHWAB & CO., INC. moved its main office from SAN FRANCISCO, CA to LONE TREE, CO.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
December 2025 — CHARLES SCHWAB & CO., INC.'s Item 11 disclosure-reporting entries rose by 1 (19 -> 20).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
80
April 2025 — CHARLES SCHWAB & CO., INC. grew from 3564 to 3692 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
50
March 2025 — CHARLES SCHWAB & CO., INC.'s Item 11 disclosure-reporting entries rose by 3 (25 -> 28).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
April 2024 — CHARLES SCHWAB & CO., INC. shrank from 3677 to 3564 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
50
April 2024 — CHARLES SCHWAB & CO., INC. added office(s): 356 -> 448 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.