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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

STEVEN MICHAEL GALE

Advisor at CHARLES SCHWAB & CO., INC.

Westlake, TX

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Search this name across graphsid dfx:ria:2fb88478-f91a-a836-ea9e-df65d348ba4f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 27, 2002 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 26, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom 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: Nov 26, 2002
First registration: Nov 27, 2002
Dual registered: yes, broker-dealer
Other names: STEVE GALE
IAPD individual key: 4591003

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 26, 2022	n/a	yes	Westlake, TX	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 21, 2006	Sep 7, 2023	no	FORT WORTH, TX\|Southlake, TX\|Westlake, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 21, 2006	Oct 14, 2022	no	FORT WORTH, TX\|WestLake, TX\|FORT WORTH, TX\|Westlake, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 27, 2002	Feb 17, 2006	no	HURST, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 26, 2022	-589	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Sep 21, 2006	-5,867	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	TD AMERITRADE, INC.	Feb 17, 2006	Sep 21, 2006	216	Firm change	Ibd to new firm

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 21, 2006 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 21, 2006 to Oct 14, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 27, 2002 to Feb 17, 2006factForm ADV

Dated events

No dated event names this entity yet.