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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Nathan Stephens

Advisor at CHARLES SCHWAB & CO., INC.

West Hartford, CT

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Search this name across graphsid dfx:ria:124f210a-c91f-ca4a-74c6-bf217b28e70e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 10, 2014 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: Sep 8, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 8, 2014
First registration: Sep 10, 2014
Dual registered: yes, broker-dealer
Other names: NATHAN EDWARD STEPHENS
IAPD individual key: 6319357

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	Apr 12, 2022	n/a	yes	West Hartford, CT	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 4, 2021	Sep 7, 2023	no	West Hartford, CT	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 4, 2021	Oct 14, 2022	no	West Hartford, CT\|OMAHA, NE	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Aug 30, 2021	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Aug 10, 2015	Jul 13, 2018	no	GREENWOOD VILLAGE, CO\|BROOMFIELD, CO\|COLORADO SPRINGS, CO	Previous registration
EDWARD JONES	National bd RIA	Sep 10, 2014	Jun 15, 2015	no	ST LOUIS, MO\|HIGHLANDS RANCH, CO\|LONE TREE, CO	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Apr 12, 2022	-513	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Oct 4, 2021	-375	Bulk transfer	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	TD AMERITRADE, INC.	Aug 30, 2021	Oct 4, 2021	35	Firm change	Other
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
EDWARD JONES	STRATEGIC ADVISERS LLC	Jun 15, 2015	Aug 10, 2015	56	Firm change	Ibd to ibd

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Apr 12, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 4, 2021 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 4, 2021 to Oct 14, 2022factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Aug 30, 2021factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 10, 2015 to Jul 13, 2018factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 10, 2014 to Jun 15, 2015factForm ADV

Dated events

No dated event names this entity yet.