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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

MICHAEL DAVID TUAZON

Advisor at SCHWAB WEALTH ADVISORY, INC.

ORLANDO, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 1, 2005 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: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 11, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom 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: S65|S63
First exam: May 11, 2005
First registration: Jun 1, 2005
Dual registered: yes, broker-dealer
Other names: MIKE D. TUAZON
IAPD individual key: 4791573

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
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	May 1, 2015	n/a	yes	ORLANDO, FL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 26, 2013	Mar 30, 2015	no	ORLANDO, FL	Previous registration
MORGAN STANLEY	Wirehouse	May 12, 2011	Apr 9, 2013	no	Winter Park, FL	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 30, 2009	Dec 31, 2009	no	WINTER PARK, FL\|ORLANDO, FL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 1, 2005	Mar 4, 2009	no	ORLANDO, FL\|ORLANDO, FL	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
WELLS FARGO ADVISORS	SCHWAB WEALTH ADVISORY, INC.	Mar 30, 2015	May 1, 2015	32	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Apr 9, 2013	Mar 26, 2013	-14	Firm change	Wirehouse to wirehouse
WOODBURY FINANCIAL SERVICES, INC.	MORGAN STANLEY	Dec 31, 2009	May 12, 2011	497	Firm change after gap	Other
MSI FINANCIAL SERVICES, INC.	WOODBURY FINANCIAL SERVICES, INC.	Mar 4, 2009	Apr 30, 2009	57	Firm change	Other

Relationships

Registered with (5)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
May 1, 2015 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 26, 2013 to Mar 30, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 12, 2011 to Apr 9, 2013factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 30, 2009 to Dec 31, 2009factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 1, 2005 to Mar 4, 2009factForm ADV

Dated events

No dated event names this entity yet.