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Detailed Report
Nicolas Vollmer
CRD#: 7737213
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 800 El Camino Real
Suite 100
Menlo Park, CA 94025-4875
Registration History
Oct2023AprJulOct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 9/19/2023
B
Missouri 9/19/2023
B
Alaska 9/19/2023
B
Montana 9/19/2023
B
Arizona 9/19/2023
B
Nebraska 9/19/2023
B
Arkansas 9/19/2023
B
Nevada 9/19/2023
B
California 9/19/2023
B
New Hampshire 9/19/2023
IA
California 9/19/2023
B
New Jersey 9/19/2023
B
Colorado 9/19/2023
B
New Mexico 9/19/2023
B
Connecticut 9/19/2023
B
New York 9/19/2023
B
Delaware 9/19/2023
B
North Carolina 9/19/2023
B
District of Columbia 9/19/2023
B
North Dakota 9/19/2023
B
Florida 9/19/2023
B
Ohio 9/19/2023
B
Georgia 9/19/2023
B
Oklahoma 9/19/2023
B
Hawaii 9/19/2023
B
Oregon 9/19/2023
B
Idaho 9/19/2023
B
Pennsylvania 9/19/2023
B
Illinois 9/19/2023
B
Rhode Island 9/19/2023
B
Indiana 9/19/2023
B
South Carolina 9/19/2023
B
Iowa 9/19/2023
B
South Dakota 9/19/2023
B
Kansas 9/19/2023
B
Tennessee 9/19/2023
B
Kentucky 9/19/2023
B
Texas 9/19/2023
B
Louisiana 9/19/2023
B
Utah 9/19/2023
B
Maine 9/19/2023
B
Vermont 9/19/2023
B
Maryland 9/19/2023
B
Virginia 9/19/2023
B
Massachusetts 9/19/2023
B
Washington 9/19/2023
B
Michigan 9/19/2023
B
West Virginia 9/19/2023
B
Minnesota 9/19/2023
B
Wisconsin 9/19/2023
B
Mississippi 9/19/2023
B
Wyoming 9/19/2023

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)
800 El Camino Real Suite 100, Menlo Park, CA 94025-4875
Registered with this firm since 9/19/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
800 El Camino Real Suite 100, Menlo Park, CA 94025-4875
Registered with this firm since 8/18/2023
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.