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Detailed Report
DANIEL JOSEPH RICKELMAN
CRD#: 2223343
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Registration History
1995200020052010201520202025IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2023 - Present (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1992 - Present (32 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2023 - 2023 (<1 year)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2019 - 2023 (4 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2016 - 2019 (2 years)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2015 - 2016 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2011 - 2015 (4 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2007 - 2010 (3 years)
License(s)

State Registrations

B
Alabama 7/20/2017
B
Nebraska 7/20/2017
B
Alaska 7/20/2017
B
Nevada 7/20/2017
B
Arizona 7/20/2017
B
New Hampshire 7/20/2017
B
Arkansas 7/20/2017
B
New Jersey 7/20/2017
B
California 1/3/2011
B
New Mexico 7/20/2017
B
Colorado 7/20/2017
B
New York 7/20/2017
B
Connecticut 7/20/2017
B
North Carolina 7/20/2017
B
Delaware 7/20/2017
B
North Dakota 7/20/2017
B
District of Columbia 7/20/2017
B
Ohio 7/21/2017
B
Florida 7/20/2017
B
Oklahoma 7/20/2017
B
Georgia 7/20/2017
B
Oregon 7/20/2017
B
Hawaii 7/20/2017
B
Pennsylvania 7/20/2017
B
Idaho 7/20/2017
B
Puerto Rico 7/20/2017
B
Illinois 7/20/2017
B
Rhode Island 7/20/2017
B
Indiana 1/3/2011
B
South Carolina 7/20/2017
IA
Indiana 5/16/2023
B
South Dakota 7/20/2017
B
Iowa 7/20/2017
B
Tennessee 7/20/2017
B
Kansas 7/20/2017
B
Texas 7/20/2017
B
Kentucky 7/20/2017
IA
Texas 5/16/2023
B
Louisiana 7/20/2017
B
Utah 7/20/2017
B
Maine 7/20/2017
B
Vermont 7/20/2017
B
Maryland 7/20/2017
B
Virgin Islands 7/20/2017
B
Massachusetts 7/20/2017
B
Virginia 7/20/2017
B
Michigan 7/20/2017
B
Washington 7/20/2017
B
Minnesota 7/20/2017
B
West Virginia 7/20/2017
B
Mississippi 7/20/2017
B
Wisconsin 7/20/2017
B
Missouri 7/20/2017
B
Wyoming 7/20/2017
B
Montana 7/20/2017

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240
Registered with this firm since 5/16/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
Registered with this firm since 8/27/1992
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/15/2023 - 05/17/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
IA
 04/09/2019 - 05/15/2023 SCHWAB WEALTH ADVISORY, INC. (CRD#:159035) Indianapolis, IN
IA
 07/15/2016 - 04/09/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
IA
 03/31/2015 - 07/15/2016 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) INDANAPOLIS, IN
IA
 01/03/2011 - 04/01/2015 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
IA
 12/13/2007 - 12/31/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) INDIANAPOLIS, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.