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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Nicholas Paul Knapek

Advisor at CHARLES SCHWAB & CO., INC.

Oak Brook, IL | Orland Park, IL

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Search this name across graphsid dfx:ria:2113987e-9366-8891-7834-a0d0bd5b53ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 13, 2017 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: Feb 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 4, 2016
First registration: Oct 13, 2017
Dual registered: yes, broker-dealer
Other names: Nicholas Knapek|NICHOLAS P KNAPEK
IAPD individual key: 6615482

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 28, 2024	n/a	yes	Orland Park, IL\|Oak Brook, IL	Current employment
MORGAN STANLEY	Wirehouse	Sep 5, 2023	Aug 23, 2024	no	Chicago, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jan 20, 2022	Sep 5, 2023	no	Chicago, IL\|ARLINGTON, VA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 13, 2017	Jan 4, 2022	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|OAK BROOK, IL\|OAK BROOK, IL\|CHICAGO, IL\|OAK BROOK, IL\|OAK BROOK, IL	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
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Aug 23, 2024	Sep 28, 2024	36	Firm change	Wirehouse to ibd
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Sep 5, 2023	Sep 5, 2023	0	Bulk transfer	RIA to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	Jan 4, 2022	Jan 20, 2022	16	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 28, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 5, 2023 to Aug 23, 2024factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 20, 2022 to Sep 5, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 13, 2017 to Jan 4, 2022factForm ADV

Dated events

Occurred
Aug 23, 2024
Advisor changed firm
Nicholas Paul Knapek left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2024-09-28)
Form ADVobserved 6 days ago
Occurred
Jan 4, 2022
Advisor changed firm
Nicholas Paul Knapek left Merrill Lynch, Pierce, Fenner & Smith Incorporated for E*Trade Capital Management, Llc (registered 2022-01-20)
Form ADVobserved 6 days ago