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Managing Director and Broker Dealer & Investment Advisor Chief Compliance Officer · Charles Schwab & Co., Inc.

Charles Nichols

CRD 4811434 · Named on Form ADV at one SEC-registered adviser

At a glance

Charles Schwab & Co., Inc., an SEC-registered broker-dealer firm based in SAN Francisco, CA with $0 in regulatory assets, lists Charles Nichols on its Form ADV as Managing Director and Broker Dealer & Investment Advisor Chief Compliance Officer.

Firms and roles

  • Charles Schwab & Co., Inc.Managing Director and Broker Dealer & Investment Advisor Chief Compliance OfficerBroker-dealer firm · SAN Francisco, CA · $0M in regulatory assets

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Charles’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Colleagues named on the same filings (6)

  • Dennis Willard HowardManaging Director and Chief Information Officer, Charles Schwab & Co., Inc.
  • Jeffrey Harold StarrManaging Director, and Operational Services and Principal Operations Officer, Charles Schwab & Co., Inc.
  • Jonathan M CraigPresident, Director, Managing Director and Head of Investor Services and Marketing, Charles Schwab & Co., Inc.
  • Michael Daniel VerdeschiManaging Director and Chief Financial Officer and Principal Financial Officer, Director, Charles Schwab & Co., Inc.
  • Neesha K HathiManaging Director Head of Wealth & Advice Solutions, Charles Schwab & Co., Inc.

1 more person named with Charles on the same filings, with titles and firms. Free in Atlas with a free account.

See all 6 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Charles’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.