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Adam G Chase
CRD#: 6186863
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 One International Place
Boston, MA 02110-2600
Registration History
201520162017201820192020202120222023202420252026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2022 - Present (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2020 - Present (4 years)IACHARLES SCHWAB INVESTMENT ADVI... (CRD# 151739)2018 - 2022 (4 years)IATHOMASPARTNERS, INC. (CRD# 104966)2016 - 2018 (1 year)IAWINDHAVEN INVESTMENT MANAGEMEN... (CRD# 155138)2015 - 2018 (2 years)
License(s)

State Registrations

B
Alabama 1/5/2021

B
New Jersey 1/5/2021

B
Connecticut 1/5/2021

B
New York 1/5/2021

IA
Connecticut 1/3/2023

B
North Carolina 1/5/2021

B
Delaware 1/5/2021

B
Pennsylvania 1/5/2021

B
District of Columbia 1/5/2021

B
Puerto Rico 1/5/2021

B
Florida 1/5/2021

B
Rhode Island 1/5/2021

B
Georgia 1/5/2021

B
South Carolina 1/5/2021

B
Kentucky 1/5/2021

B
Tennessee 1/5/2021

B
Maine 1/5/2021

B
Texas 1/5/2021

B
Maryland 1/5/2021

IA
Texas 1/10/2022

B
Massachusetts 6/22/2020

B
Vermont 1/5/2021

B
Michigan 1/3/2024

B
Virginia 1/5/2021

B
New Hampshire 1/5/2021

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
One International Place, Boston, MA 02110-2600
Registered with this firm since 1/10/2022

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
One International Place, Boston, MA 02110-2600
Registered with this firm since 3/3/2020

Previous Registration(s)
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IA
02/27/2018 - 02/11/2022 CHARLES SCHWAB INVESTMENT ADVISORY, INC (CRD#:151739) Boston, MA
IA
11/23/2016 - 03/30/2018 THOMASPARTNERS, INC. (CRD#:104966) Boston, MA
IA
09/15/2015 - 03/30/2018 WINDHAVEN INVESTMENT MANAGEMENT, INC. (CRD#:155138) BOSTON, MA
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B
Broker
IA
Investment Adviser
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.