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Detailed Report
JONATHAN BALDWIN SEARS
JONATHAN B. SEARS, Jonathan Sears
CRD#: 5505297
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 150 S Wacker Dr
Chicago, IL 60606
CHARLES SCHWAB & CO., INC.CRD#: 5393 150 S. Wacker Drive
Chicago, IL 60606-4111
Registration History
20082010201220142016201820202022202420262 FIRMS2015 - 2018 (3 years)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2022 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2018 - Present (6 years)BPNC INVESTMENTS (CRD# 129052)2009 - 2014 (5 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)2008 - 2009 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2018 - 2022 (4 years)
Disclosure(s)
View By:
11/14/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/2/2025
B
Minnesota 1/2/2025
B
California 5/9/2018
B
Nevada 2/28/2019
B
Colorado 3/28/2019
B
New Jersey 2/28/2019
B
Connecticut 2/7/2024
B
New York 5/28/2020
B
Florida 5/10/2018
B
Ohio 5/10/2018
B
Illinois 5/10/2018
B
Oregon 10/16/2023
IA
Illinois 10/27/2022
B
Tennessee 3/2/2023
B
Indiana 6/26/2024
B
Texas 2/28/2019
B
Iowa 5/14/2018
IA
Texas 1/2/2025
B
Kentucky 11/18/2024
B
Virginia 4/22/2022
B
Massachusetts 2/7/2024
B
Washington 2/28/2019
B
Michigan 5/11/2018
B
Wisconsin 5/14/2018

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)
150 S Wacker Dr, Chicago, IL 60606
Registered with this firm since 10/27/2022
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
150 S. Wacker Drive, Chicago, IL 60606-4111
Registered with this firm since 5/9/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/10/2018 - 10/27/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Yorkville, IL
IA
 04/17/2015 - 04/23/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) ST. CHARLES, IL
B
 04/17/2015 - 04/23/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) ST. CHARLES, IL
B
 11/13/2009 - 12/10/2014 PNC INVESTMENTS (CRD#:129052) DOWNERS GROVE, IL
B
 04/28/2008 - 11/13/2009 NATCITY INVESTMENTS, INC. (CRD#:17490) ST CHARLES, IL
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.