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.

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 1, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

12derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Designations

Certified Financial Planner

Exams

S66

First exam

Jul 18, 2008

First registration

Jul 22, 2008

Dual registered

yes, broker-dealer

Other names

NICHOLAS F CARUSO|NICHOLAS CARUSO|Nick Caruso|NICHOLAS FRANCIS CARUSO

IAPD individual key

5001869

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3da88bae-bf2f-782c-c870-2de56a22d4c2

First observed

Jul 22, 2008

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.