DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Steven Todd Nearpass

Advisor at CHARLES SCHWAB & CO., INC.

Lone Tree, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:45ef3a6b-2427-a9e7-dbe2-be9464d64ee9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2003 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 14, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 14, 1997
First registration: Jan 2, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2951976

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	Nov 3, 2014	n/a	yes	Lone Tree, CO	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Jul 27, 2021	Oct 14, 2022	no	OMAHA, NE\|Lone Tree, CO	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Dec 2, 2005	Jun 28, 2013	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|NEW YORK, NY	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jan 26, 2005	Nov 9, 2005	no	DENVER, CO	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Jan 2, 2003	Nov 5, 2004	no	PHOENIX, AZ	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, INC.	n/a	Oct 14, 2022	n/a	n/a	Departure no registered destination	Departure
OSAIC WEALTH, INC.	CHARLES SCHWAB & CO., INC.	Jun 28, 2013	Nov 3, 2014	493	Firm change after gap	Other
ADVICE AND PLANNING SERVICES	OSAIC WEALTH, INC.	Nov 9, 2005	Dec 2, 2005	23	Firm change	Other
SUNAMERICA SECURITIES, INC.	ADVICE AND PLANNING SERVICES	Nov 5, 2004	Jan 26, 2005	82	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Nov 3, 2014 to presentfactForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 27, 2021 to Oct 14, 2022factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Dec 2, 2005 to Jun 28, 2013factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jan 26, 2005 to Nov 9, 2005factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Nov 5, 2004factForm ADV

Dated events

Occurred
Oct 14, 2022
Advisor departed, no destination yet
Steven Todd Nearpass no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
Form ADVobserved 4 days ago