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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

ERIC MICHAEL NELSON

Advisor at CHARLES SCHWAB & CO., INC.

Bridgewater, NJ | Princeton, NJ

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Search this name across graphsid dfx:ria:19f31690-e881-0f52-e028-73219d367778

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2013 to Sep 15, 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: Dec 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 19, 2013
First registration: Sep 20, 2013
Dual registered: yes, broker-dealer
Other names: ERIC NELSON
IAPD individual key: 5876851

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	Mar 21, 2022	n/a	yes	Princeton, NJ\|Bridgewater, NJ	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 15, 2017	Sep 7, 2023	no	Princeton, NJ\|Bound Brook, NJ\|Bridgewater, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 15, 2017	Oct 14, 2022	no	PRINCETON, NJ\|Bridgewater, NJ\|OMAHA, NE	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 20, 2013	Mar 15, 2017	no	PENNINGTON, NJ\|PENNINGTON, NJ\|NEW YORK, NY	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	Mar 21, 2022	-535	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Aug 15, 2017	-1,886	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Mar 15, 2017	Aug 15, 2017	153	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 21, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 15, 2017 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 15, 2017 to Oct 14, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 20, 2013 to Mar 15, 2017factForm ADV

Dated events

No dated event names this entity yet.