DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

SHAWN CHRISTOPHER RIGGINS

Advisor at CHARLES SCHWAB & CO., INC.

Westlake, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01f6f889-17d1-2a9e-0037-1b7d0fb9007f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Feb 26, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 12, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 12, 2007
First registration: Feb 26, 2008
Dual registered: yes, broker-dealer
Other names: SHAWN RIGGINS|SHAWN C RIGGINS
IAPD individual key: 5372976

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	May 25, 2022	n/a	yes	Westlake, TX	Current employment
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	May 5, 2021	May 25, 2022	no	Westlake, TX	Previous registration
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Jan 7, 2019	Oct 22, 2020	no	Fort Worth, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 20, 2016	Jan 23, 2019	no	Westlake, TX\|Fort Worth, TX\|Lone Tree, CO\|Westlake, TX	Previous registration
WFG ADVISORS, LP	Former SEC adviser	Jul 20, 2015	Aug 1, 2016	no	FORT WORTH, TX	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Mar 20, 2015	Jul 22, 2015	no	FORT WORTH, TX	Previous registration
ROSENTHAL ADVISORY SERVICES, L.P.	Former SEC adviser	Mar 9, 2009	Mar 18, 2015	no	FORT WORTH, TX	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jul 1, 2008	Feb 17, 2015	no	FORTH WORTH, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2008	Jun 27, 2008	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 26, 2008	Jun 27, 2008	no	FORT WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SCHWAB WEALTH ADVISORY, INC.	CHARLES SCHWAB & CO., INC.	May 25, 2022	May 25, 2022	0	Channel change	Other
CHARLES SCHWAB & CO., INC.	SCHWAB WEALTH ADVISORY, INC.	Jan 23, 2019	Jan 7, 2019	-16	Channel change	Ibd to ibd
WFG ADVISORS, LP	CHARLES SCHWAB & CO., INC.	Aug 1, 2016	Dec 20, 2016	141	Firm change	Other
PARK AVENUE SECURITIES LLC	WFG ADVISORS, LP	Jul 22, 2015	Jul 20, 2015	-2	Firm change	Other
ROSENTHAL ADVISORY SERVICES, L.P.	PARK AVENUE SECURITIES LLC	Mar 18, 2015	Mar 20, 2015	2	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	ROSENTHAL ADVISORY SERVICES, L.P.	Feb 17, 2015	Mar 9, 2009	-2,171	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Jun 27, 2008	Jul 1, 2008	4	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 27, 2008	Feb 26, 2008	-122	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
159035:5393:TX:2022-05-24	May 25, 2022	May 25, 2022	WESTLAKE, TX	Firm change

Relationships

Registered with (8)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Dec 20, 2016 to Jan 23, 2019factForm ADV
→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: previous registration
May 5, 2021 to May 25, 2022factForm ADV
→ WFG ADVISORS, LPRegistered adviserregistration: previous registration
Jul 20, 2015 to Aug 1, 2016factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Mar 20, 2015 to Jul 22, 2015factForm ADV
→ ROSENTHAL ADVISORY SERVICES, L.P.Registered adviserregistration: previous registration
Mar 9, 2009 to Mar 18, 2015factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jul 1, 2008 to Feb 17, 2015factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2008 to Jun 27, 2008factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 26, 2008 to Jun 27, 2008factForm ADV

Dated events

No dated event names this entity yet.