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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

FREDERICK ALLEN WILLIAMS

Advisor at CHARLES SCHWAB & CO., INC.

Wright City, MO | Lone Tree, CO

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Search this name across graphsid dfx:ria:3e72d59b-a777-69db-7355-189c1c5400ff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 5, 2010 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: Aug 3, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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: Aug 3, 2010
First registration: Aug 5, 2010
Dual registered: yes, broker-dealer
Other names: FREDERICK ALLEN WILLIAMS
IAPD individual key: 2942084

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	Mar 9, 2022	n/a	yes	Wright City, MO\|Lone Tree, CO	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 14, 2019	Dec 12, 2022	no	ST. LOUIS, MO	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 14, 2019	Oct 14, 2022	no	St. Louis, MO\|OMAHA, NE\|St Louis, MO\|Lone Tree, CO\|St. Louis, MO\|St Louis, MO\|OMAHA, NE	Previous registration
EDWARD JONES	National bd RIA	Aug 5, 2010	Nov 14, 2011	no	ST LOUIS, MO	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.	Dec 12, 2022	Mar 9, 2022	-278	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Mar 14, 2019	-1,310	Bulk transfer	Other
EDWARD JONES	TD AMERITRADE, INC.	Nov 14, 2011	Mar 14, 2019	2,677	Firm change after gap	Ibd to new firm

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 9, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 14, 2019 to Dec 12, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 14, 2019 to Oct 14, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Aug 5, 2010 to Nov 14, 2011factForm ADV

Dated events

No dated event names this entity yet.