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Detailed Report
Casey Lynne Zeringue
CRD#: 6617210
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 200 Clayton Street
Suite 100
Denver, CO 80206
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (8 years)BTD AMERITRADE, INC. (CRD# 7870)2021 - 2024 (2 years)IATD AMERITRADE, INC. (CRD# 7870)2021 - 2022 (<1 year)
License(s)

State Registrations

B
Alabama 1/5/2021
B
Nebraska 1/5/2021
B
Alaska 1/5/2021
B
Nevada 5/17/2024
B
Arizona 1/5/2021
B
New Hampshire 1/5/2021
B
California 7/1/2016
B
New Jersey 7/13/2016
IA
California 8/9/2017
B
New Mexico 1/5/2021
B
Colorado 6/21/2016
B
New York 7/13/2016
IA
Colorado 7/1/2016
B
North Carolina 1/5/2021
B
Connecticut 1/5/2021
B
Ohio 1/6/2021
B
Delaware 1/5/2021
B
Oklahoma 1/5/2021
B
Florida 7/13/2016
B
Oregon 1/5/2021
B
Georgia 3/6/2017
B
Pennsylvania 1/5/2021
B
Hawaii 1/5/2021
B
South Carolina 1/5/2021
B
Idaho 1/5/2021
B
South Dakota 1/5/2021
B
Illinois 7/13/2016
B
Tennessee 1/5/2021
B
Indiana 1/5/2021
B
Texas 3/6/2017
B
Iowa 1/5/2021
B
Utah 1/5/2021
B
Kansas 1/5/2021
B
Vermont 1/5/2021
B
Louisiana 1/5/2021
B
Virgin Islands 1/5/2021
B
Maryland 3/6/2017
B
Virginia 3/6/2017
B
Massachusetts 1/5/2021
B
Washington 3/6/2017
B
Minnesota 1/5/2021
B
Wisconsin 1/5/2021
B
Missouri 1/5/2021
B
Wyoming 1/5/2021
B
Montana 1/5/2021

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
200 Clayton Street Suite 100, Denver, CO 80206
Registered with this firm since 7/1/2016
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
200 Clayton Street Suite 100, Denver, CO 80206
Registered with this firm since 6/21/2016
Previous Registration(s)
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B
 12/16/2021 - 05/19/2024 TD AMERITRADE, INC. (CRD#:7870) Denver, CO
IA
 12/16/2021 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Denver, CO
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.