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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Dorothy Ann Sperry

Advisor at CHARLES SCHWAB & CO., INC.

Sarasota, FL

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Search this name across graphsid dfx:ria:02a8d4d3-e111-643d-e9d8-df6b4bf9059d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Apr 14, 2004 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: Apr 7, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Apr 7, 2004
First registration: Apr 14, 2004
Dual registered: yes, broker-dealer
Other names: DOROTHY SPERRY GRASKA|Dorothy A Sperry|Dorothy Sperry
IAPD individual key: 4635917

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	Sep 5, 2023	n/a	yes	Sarasota, FL	Current employment
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Mar 8, 2022	Aug 16, 2023	no	GREENWOOD VILLAGE, CO\|Groveland, FL\|Ponte Vedra, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 29, 2020	Feb 2, 2022	no	The Villages, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 7, 2020	Feb 2, 2022	no	The Villages, FL\|The Villages, FL	Previous registration
EDELMAN FINANCIAL ENGINES	Independent wealth	Oct 15, 2019	Mar 11, 2020	no	HENRICO, VA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 28, 2018	Aug 29, 2019	no	GAINESVILLE, FL\|Ponte Vedra Beach, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Aug 29, 2019	no	OMAHA, NE\|GAINESVILLE, FL\|Ponte Vedra Beach, FL	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Apr 4, 2017	Feb 26, 2018	no	Jacksonville Beach, FL	Previous registration
FOUNTAIN FINANCIAL ASSOCIATES, INC.	Former SEC adviser	Apr 29, 2016	Aug 17, 2016	no	WILMINGTON, NC	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jul 15, 2013	Feb 1, 2016	no	JACKSONVILLE, FL\|SARASOTA, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Apr 20, 2011	May 31, 2013	no	GAINESVILLE, FL\|ALACHUA, FL\|JACKSONVILLE, FL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Dec 23, 2008	Apr 18, 2011	no	GAINESVILLE, FL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Apr 14, 2004	Dec 22, 2008	no	GAINESVILLE, FL\|GAINESVILLE, FL	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
EMPOWER ADVISORY GROUP, LLC	CHARLES SCHWAB & CO., INC.	Aug 16, 2023	Sep 5, 2023	20	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Feb 2, 2022	Apr 29, 2020	-644	Channel change	Other
TD AMERITRADE, INC.	EMPOWER ADVISORY GROUP, LLC	Feb 2, 2022	Mar 8, 2022	34	Firm change	Other
EDELMAN FINANCIAL ENGINES	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 11, 2020	Apr 7, 2020	27	Firm change	RIA to RIA
TD AMERITRADE, INC.	EDELMAN FINANCIAL ENGINES	Aug 29, 2019	Oct 15, 2019	47	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Aug 29, 2019	Feb 28, 2018	-547	Channel change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA
FOUNTAIN FINANCIAL ASSOCIATES, INC.	SCOTTRADE INVESTMENT MANAGEMENT	Aug 17, 2016	Apr 4, 2017	230	Firm change	Other
STRATEGIC ADVISERS LLC	FOUNTAIN FINANCIAL ASSOCIATES, INC.	Feb 1, 2016	Apr 29, 2016	88	Firm change	Other
PRUCO SECURITIES, LLC	STRATEGIC ADVISERS LLC	May 31, 2013	Jul 15, 2013	45	Firm change	Other
EQUITABLE ADVISORS, LLC	PRUCO SECURITIES, LLC	Apr 18, 2011	Apr 20, 2011	2	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	EQUITABLE ADVISORS, LLC	Dec 22, 2008	Dec 23, 2008	1	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
111514:7870:FL:2019-08-29	Aug 29, 2019	Feb 28, 2018	PONTE VEDRA BEACH, FL	Firm change after gap

Relationships

Registered with (11)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 5, 2023 to presentfactForm ADV
→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Mar 8, 2022 to Aug 16, 2023factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 7, 2020 to Feb 2, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 29, 2020 to Feb 2, 2022factForm ADV
→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: previous registration
Oct 15, 2019 to Mar 11, 2020factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Apr 4, 2017 to Feb 26, 2018factForm ADV
→ FOUNTAIN FINANCIAL ASSOCIATES, INC.Registered adviserregistration: previous registration
Apr 29, 2016 to Aug 17, 2016factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jul 15, 2013 to Feb 1, 2016factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 20, 2011 to May 31, 2013factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 23, 2008 to Apr 18, 2011factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 14, 2004 to Dec 22, 2008factForm ADV

Dated events

Occurred
Aug 16, 2023
Advisor changed firm
Dorothy Ann Sperry left Empower Advisory Group, Llc for Charles Schwab & Co., Inc. (registered 2023-09-05)
Form ADVobserved 5 days ago
Occurred
Feb 2, 2022
Advisor changed firm
Dorothy Ann Sperry left Td Ameritrade, Inc. for Empower Advisory Group, Llc (registered 2022-03-08)
Form ADVobserved 5 days ago