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

Daniel Adam Wiliiams

Advisor at CHARLES SCHWAB & CO., INC.

Raleigh, NC

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Search this name across graphsid dfx:ria:1c27c4d0-2e34-8181-05f0-210f93a23213

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 7, 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: Jul 31, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 31, 2013
First registration: Jan 7, 2014
Dual registered: yes, broker-dealer
Other names: DANNY WILLIAMS|DANIEL ADAM WILLIAMS
IAPD individual key: 6201542

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	Jan 25, 2021	n/a	yes	Raleigh, NC	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Dec 22, 2020	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 9, 2016	Jul 13, 2018	no	SCARSDALE, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 7, 2014	Jul 2, 2014	no	NEW YORK, NY\|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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	CHARLES SCHWAB & CO., INC.	Dec 22, 2020	Jan 25, 2021	34	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	STRATEGIC ADVISERS LLC	Jul 2, 2014	Jun 9, 2016	708	Firm change after gap	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 25, 2021 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Dec 22, 2020factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jun 9, 2016 to Jul 13, 2018factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 7, 2014 to Jul 2, 2014factForm ADV

Dated events

No dated event names this entity yet.