Unclaimed Profile

Charles Nichols

CHARLES SCHWAB & CO., INC.·SAN FRANCISCO, California

SIE, Series 3, Series 7, Series 24, Series 66Clean record19 years registeredCHARLES SCHWAB & CO., INC.

211 MAIN STREET, SAN FRANCISCO, CA 94105CRD# 4811434Firm CRD# 5393

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Charles Nichols · SAN FRANCISCO, CA

Registration

CRD #4811434 · CHARLES SCHWAB & CO., INC. · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CHARLES SCHWAB & CO., INC.

MORGAN STANLEY & CO. INCORPORATED

Apr 2007 – Jul 2008

NEW YORK, NY

MORGAN STANLEY

Nov 2006 – Apr 2007

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 24

Series 66

Registration record

First registered · November 30, 2006

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CHARLES SCHWAB & CO., INC.

CRD 5393 · SEC 801-29938

Employees

29,350

Total firm employees

Services offered by CHARLES SCHWAB & CO., INC.

Per Form ADV

Financial planning

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

High Net Worth Individuals

View all advisors at CHARLES SCHWAB & CO., INC. →

Introduction

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Frequently Asked Questions

What services does Charles Nichols offer?

Charles Nichols specializes in Financial Planning.

What are Charles Nichols's credentials?

Charles Nichols is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Charles Nichols located?

Charles Nichols is based in SAN FRANCISCO, California, last registered with CHARLES SCHWAB & CO., INC..

How does Charles Nichols charge for services?

Charles Nichols's firm is compensated through subscription fees, other: asset based fees for wrap pgrms & subsc pricing for fin planning. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CHARLES SCHWAB & CO., INC.?

CHARLES SCHWAB & CO., INC. has approximately 29350 employees. The firm is registered with the SEC as an investment adviser.

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