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Investment Adviser Firm Summary

CHARLES SCHWAB & CO., INC. (CRD# 5393 / SEC# 8-16514, 801-29938)
Alternate Names: CHARLES SCHWAB & CO., INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/24/1987

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/10/1991
Alaska 08/18/1987
Arkansas 08/04/1989
California 07/08/1997
Colorado 01/01/1999
Connecticut 12/24/1997
Delaware 01/24/2011
District of Columbia 12/24/1993
Florida 11/05/1987
Georgia 01/07/1990
Hawaii 04/02/2002
Idaho 11/08/1995
Illinois 07/02/1987
Indiana 02/06/2001
Iowa 01/01/1999
Kansas 02/10/1998
Kentucky 01/12/1999
Louisiana 10/01/2001
Maine 04/06/1995
Maryland 03/05/1991
Michigan 01/04/2008
Minnesota 09/21/1987
Mississippi 04/05/2002
Missouri 12/01/1997
Montana 12/15/1995
Nebraska 01/01/2002
Nevada 12/05/1990
New Hampshire 06/27/1988
New Jersey 03/14/1996
New Mexico 01/27/1988
New York 11/10/1987
North Carolina 01/16/2001
North Dakota 04/05/2002
Ohio 01/01/2000
Oklahoma 01/01/1998
Oregon 01/04/2008
Pennsylvania 01/04/2008
Puerto Rico 09/14/1988
Rhode Island 03/26/1996
South Carolina 09/23/2003
South Dakota 09/17/1987
Tennessee 03/31/2004
Texas 09/02/1983
Utah 11/17/1993
Vermont 02/07/1995
Virgin Islands 03/30/2012
Virginia 07/15/1987
Washington 06/27/1988
West Virginia 09/03/1987
Wisconsin 05/16/1996
Wyoming 07/10/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser