DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

DIARVONDA SHICOLE RANSOM

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:1b48f3e7-d1ae-c507-0fbf-e167ac55d75a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 2, 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: Nov 25, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 25, 2012
First registration: Oct 2, 2014
Dual registered: yes, broker-dealer
Other names: VONDA RANSOM
IAPD individual key: 3278043

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 10, 2019	n/a	yes	Westlake, TX	Current employment
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Feb 11, 2016	Aug 28, 2019	no	DALLAS, TX\|DALLAS, TX\|Mandeville, LA	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Sep 25, 2015	Feb 11, 2016	no	DALLAS, TX	Previous registration
MOMENTUM INDEPENDENT NETWORK INC.	Bd affiliated wealth	Oct 2, 2014	Feb 11, 2016	no	DALLAS, 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
PROSPERA FINANCIAL SERVICES, INC.	CHARLES SCHWAB & CO., INC.	Aug 28, 2019	Sep 10, 2019	13	Firm change	RIA to ibd
MOMENTUM INDEPENDENT NETWORK INC.	HILLTOP SECURITIES INC.	Feb 11, 2016	Sep 25, 2015	-139	Firm change after gap	Other
HILLTOP SECURITIES INC.	PROSPERA FINANCIAL SERVICES, INC.	Feb 11, 2016	Feb 11, 2016	0	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 10, 2019 to presentfactForm ADV
→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 11, 2016 to Aug 28, 2019factForm ADV
→ MOMENTUM INDEPENDENT NETWORK INC.Registered adviserregistration: previous registration
Oct 2, 2014 to Feb 11, 2016factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Sep 25, 2015 to Feb 11, 2016factForm ADV

Dated events

No dated event names this entity yet.